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Full text of "North Carolina Register v.2 no. 12 (3/15/1988)"

KFkJ/mvi/.rta/KJ 



MAR 1? 198 8 



NORTH CAROLINA 

REGISTER 



IN THIS ISSUE 



COHo 

TITUl lit/) 

||tiom| o 



EXECUTIVE ORDERS 

FINAL DECISION LETTERS 

PROPOSED RULES 
Agriculture 

Crime Control and Public Safety 
Human Resources 
Insurance 
Justice 
Labor 

Medical Examiners 
NRCD 
Real Estate 
State Personnel 

LIST OF RULES AFFECTED 



ISSUE DATE: MARCH 15, 1988 
Volume 2 • Issue 12 • Pages 951-1 1 1 1 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE 



NORTH CAROLINA REGISTER 

The North Carolina Register is published monthly and 
contains information relating to agency, executive, 
legislative and judicial actions required by or affecting 
Chapter 150B of the General Statutes. All proposed, ad- 
ministrative rules and amendments filed under Chapter 
150B must be published in the Register. The Register 
will typically comprise approximately one hundred 
pages per issue of legal text. 

State law requires that a copy of each issue be pro- 
vided free of charge to each county in the state and to 
various state officials and institutions. The North 
Carolina Register is available by yearly subscription at 
a cost of ninety-five dollars ($95.00) for 12 issues. 

Requests for subscriptions to the North Carolina 
Register should be directed to the Office of Ad- 
ministrative Hearings, P. 0. Drawer 1 1666, Raleigh, N. 
C. 27604, Attn: Subscriptions. 

ADOPTION, AMENDMENT, AND REPEAL OF 
RULES 

An agency intending to adopt, amend, or repeal a rule 
must first publish notice of the proposed action in the 
North Carolina Register. The notice must include the 
time and place of the public hearing; a statement of how 
public comments may be submitted to the agency either 
at the hearing or otherwise; the text of the proposed 
rule or amendment; a reference to the Statutory 
Authority for the action and the proposed effective date. 

The Director of the Office of Administrative Hearings 
has authority to publish a summary, rather than the 
full text, of any amendment which is considered to be 
too lengthy. In such case, the full text of the rule con- 
taining the proposed amendment will be available for 
public inspection at the Rules Division of the Office of 
Administrative Hearings and at the office of the pro- 
mulgating agency. 

Unless a specific statute provides otherwise, at least 
30 days must elapse following publication of the pro- 
posal in the North Carolina Registerbciore the agency 
may conduct the required public hearing and take ac- 
tion on the proposed adoption, amendment or repeal. 

When final action is taken, the promulgating agency 
must file any adopted or amended rule for approval by 
the Administrative Rules Review Commission. Upon ap- 
proval of ARRC, the adopted or amended rule must be 
filed with the Office of Administrative Hearings. If it 
differs substantially from the proposed form published 
as part of the public notice, upon request by the agen- 
cy, the adopted version will again be published in the 
North Carolina Register. 

A rule, or amended rule cannot become effective 
earlier than the first day of the second calendar month 
after the adoption is filed with the Office of Ad- 
ministrative Hearings for publication in the NCAC. 

Proposed action on rules may be withdrawn by the 
promulgating agency at any time before final action is 
taken by the agency. 

TEMPORARY RULES 

Under certain conditions of an emergency nature, 
some agencies may issue temporary rules. A temporary 
rule becomes effective when adopted and remains in 



effect for the period specified in the rule or 180 days, 
whichever is less. An agency adopting a temporary rule 
must begin normal rule-making procedures on the per- 
manent rule at the same time the temporary rule is 
adopted. 

NORTH CAROLINA ADMINISTRATIVE CODE 

The North Carolina Administrative Code (NCAC) is 
a compilation and index of the administrative rules of 
25 state agencies and 38 occupational licensing boards. 
The NCAC comprises approximately 1 5,000 letter size, 
single spaced pages of material of which approximate- 
lv 35% is changed annually. Compilation and publica- 
tion of the NCAC is mandated by G.S. 150B-63(b). 

The Code is divided into Titles and Chapters. Each 
state agency is assigned a separate title which is fur- 
ther broken down by chapters. Title 21 is designated 
for occupational licensing boards. 

The NCAC is available in two formats. 

(1) Single pages may be obtained at a minimum 
cost of two dollars and 50 cents ($2.50) for 10 
pages or less, plus fifteen cents ($0.15) per each 
additional page. 

(2) The full publication consists of 52 volumes, 
totaling in excess of 15,000 pages. It is sup- 
plemented monthly with replacement pages. A 
one year subscription to the full publication in- 
cluding supplements can be purchased for 
seven hundred and fifty dollars ($750.00). In- 
dividual volumes may also be purchased with 
supplement service. Renewal subscriptions for 
supplements to the initial publication available. 

Requests for pages of rules or volumes of the NCAC 
should be directed to the Office of Administrative 
Hearings. 

NOTE 

The foregoing is a generalized statement of the pro- 
cedures to be followed. For specific statutory language, 
it is suggested that Articles 2 and 5 of Chapter 150B of 
the General Statutes be examined carefully. 

CITATION TO THE NORTH CAROLINA 
REGISTER 

The North Carolina Register is cited by volume, issue, 
page number and date. 1:1 NCR 101-201, April 1, 1986 
refers to Volume 1, Issue 1, pages 101 through 201 of 
the North Carolina Register issued on April 1, 1986. 



North Carolina Register. Published monthly by 
the Office of Administrative Hearings, P.O. 
Drawer 1 1666, Raleigh, North Carolina 27604, pur- 
suant to Chapter 150B of the General Statutes. 
Subscriptions ninety-five dollars ($95.00) per year. 
North Carolina Administrative Code. Published 
in looseleaf notebooks with supplement service by 
the Office of Administrative Hearings, P.O. 
Drawer 1 1666, Raleigh, North Carolina 27604, pur- 
suant to Chapter 150B of the General Satutes. 
Subscriptions seven hundred and fifty dollars 
($750.00). Individual volumes available. 



NORTH 
CAROLINA 
REGISTER 



ISSUE CONTENTS 



EXECUTIVE ORDERS 

Executive Order 67 



951 



II. FINAL DECISION LETTERS 

Voting Rights Act 952 




Office of Administrative Hearings 

P. O. Drawer 11666 

Raleigh, NC 27604 

(919) 733 - 2678 



Robert A. Melott, 

Director 
James R. Scarcella, Sr. 

Deputy Director 
Molly Mason, 

Assistant Director 

Staff: 

Ruby Creech, 

Publications Coordinator 
Teresa Johnson, 

Editorial Assistant 
Jean Shirley, 

Editorial Assistant 
Latarsha Roberts, 

Records Clerk 



III. PROPOSED RULES 
Agriculture 

Structural Pest 

Control Division 954 

Crime Control and 

Public Safety 

Departmental Rules 1086 

Fire Commission 1090 

Human Resources 

Facihty Services 965 

Health Services 967 

Mental Health: General 973 

Mental Health: 

Other Programs 1042 

N.C. Drug Commission 1070 

Insurance 

Departmental Rules 1070 

Justice 

Alarm Systems Licensing 

Board 1075 

Labor 
Apprenticeship and 

Training Division 1086 

Boiler and Pressure 

Vessel 1085 

Conciliation and 

Arbitration Division 1079 

Departmental Rules 1077 

Mine and Quarry 1079 

Office of Occupational 

Safety and Health 1079 

Wage and Hour 1084 

Licensing Boards 

Medical Examiners 1094 

Real Estate 1097 

NRCD 

Departmental Rules 1090 

Environmental Management.... 1091 

State Personnel 

Office of State Personnel 1100 

FV. LIST OF RULES AFFECTED 

March 1, 1988 1102 

V. CUMULATIVE INDEX 1107 



NORTH CAROLINA REGISTER 

Publication Deadlines and Schedules 

(January 1988 - March 1989) 



Issue 


Last Day 


Last Dav 


Earliest 


♦ 


Date 


for 


for 


Date for 


Earliest 




Liling 


Electronic 


Public 


Effective 






Liling 


Hearing & 
Adoption by 
Agency 


Date 


******** 


******** 


******** 


******** 


******** 


01/15/88 


12/28/87 


01/04,-88 


02/14/88 


05/01/88 


02 15 SS 


01/26/88 


02 02 88 


03/16/88 


06 01/88 


03/15/88 


02/24/88 


03/02/88 


04/14/88 


07/01/88 


04/15/88 


03 25 : 88 


04/01/88 


05/15/88 


08/01/88 


05/16/88 


04 27 88 


05/03/88 


06 15 88 


09/01/88 


06/15/88 


05/26/88 


06/02/88 


07/15/88 


10/01/88 


07/15,88 


06 24 88 


07/01/88 


08/14/88 


11/01/88 


08/15/88 


07/26, 88 


08/02, 88 


id 14 88 


12/01/88 


09/15/88 


08/26/88 


09/02/88 


10/15/88 


01/01/89 


10/14/88 


09 26 88 


10/03/88 


11/13/88 


02/01/89 


11/15/88 


10/26/88 


11/02/88 


12/15/88 


03/01/89 


12/15/88 


11/23/88 


12/02/88 


01/14/89 


04/01/89 


01/16/89 


12/27/88 


01/03/89 


02/15/89 


05/01/89 


02/15/89 


01/26/89 


02/02/89 


03/17/89 


06/01/89 


03/15/89 


02 21 89 


03/02/89 


04/14/89 


07/01/89 



* The "Earliest Effective Date" is computed assuming that the public hearing 
and adoption occur in the calendar month immediately following the "Issue 
Date" , that the agency files the rule with The Administrative Rules Review 
Commission by the 20th of the same calendar month and that ARRC approves 
the rule at the next calendar month meeting. 



EXECUTIVE ORDER 



EXECUTIVE ORDER NUMBER 67 

GOVERNOR'S TASK FORCE ON THE 

SHORTAGE OK NURSES IN NORTH 

CAROLINA 

The State of North Carolina has made great 
strides in supplying quality health care to its citi- 
zens. Our physical capacity and technological 
capability to provide the needed care is being met 
but our supply of a trained labor force is 
dangerously low. 

The shortfall is particularly critical in nursing. 
North Carolina simply does not have enough 
trained nurses to meet the growing demands on 
our health care system. The shortage promises 
to become increasingly worse and could have a 
very serious impact on the state's ability to 
maintain a high level of health services to its 
people. 

In view of this problem and its growing severity, 
it is important that the state establish a task force 
to study this issue and prepare a report which 
shall examine the causes of the shortage, clearly 
set forth its implications, and recommend possi- 
ble solutions that can be implemented by both 
the public and private sectors. 

THEREFORE, by the authority vested in me 
as Governor by the Constitution and laws of 
North Carolina, IT IS ORDERED: 



Section 



ESTABLISHMENT 



The Governor's Task Force on the Shortage of 
Nurses in North Carolina is hereby established. 
The Task Force shall consist of not more than 
20 members appointed by the Governor to serve 
at the pleasure of the Governor. All vacancies 
shall be filled by the Governor. The Governor 
shall designate one of its members as chairman. 
The Secretary of the Department of Human Re- 
sources or his designee shall serve as an ex-officio 
member. 

Section 2. MEMBERSHIP 

The membership of the task force shall include 
but not be limited to representatives from the 
following groups: 

1 . North Carolina Nurses Association 

2. North Carolina Hospital Association 

3. North Carolina Community College Sys- 
tem 



4. The University of North Carolina System 

5. North Carolina Medical Society 

6. The North Carolina Health Care Facilities 
Association 

7. One member from the North Carolina 
Senate 

8. One member from the North Carolina 
House 

9. North Carolina Licensed Practical Nurses 
Association 

10. North Carolina Association for Home 
Care 

1 1 . North Carolina Department of Public In- 
struction (Health Occupations Program) 

Section 3. FUNCTIONS 

1. The Task Force shall meet regularly at the 
call of the Chairman. The Task Force is au- 
thorized to conduct public hearings for the pur- 
pose of receiving the comments and suggestions 
of citizens throughout the state. 

2. The duties of the Task Force shall be to 
conduct a comprehensive study of the availability 
of adequate skilled nursing care in North 
Carolina and to prepare a report outlining its 
findings and making recommendations on how 
the public and private sectors can best work to 
alleviate the nursing shortage now and in the fu- 
ture. This report shall be submitted to the 
Governor no later than September 1, 1988. 

Section 4. ADMINISTRATION 

1 Administrative support and staff for this task 
force shall be provided by the Department of 
Human Resources. 

2. Members of the task force may be reim- 
bursed for necessary travel and subsistence ex- 
penses as authorized by NCGS 138-5. Funds for 
reimbursement of such expenses shall be made 
available from funds authorized by the Depart- 
ment of Human Resources. 

3. All other funds for the support of the task 
force study shall also be made available from 
funds authorized by the Department of Human 
Resources. 



Section 5. 



IMPLEMENTATION AND 



DERATION 

1. This order shall be effective immediately. 

2. This commission shall dissolve at the pleas- 
ure of the Governor but not later than January 
1, 1989. 

Done in Raleigh, North Carolina, this 18th day 
of February, 1988. 



NORTH CAROLINA REGISTER 



951 



VOTING RIGHTS ACT FINAL DECISION LETTERS 



[G.S. J 20-30. 9H, effective July 16, J9S6, requires that all letters and other documents issued by the 
Attorney General of the United States in which a final decision is made concerning a "change af- 
fecting voting" under Section 5 of the Voting Rights Act of J 965 be published in the North Carolina 
Register. / 



U.S. Department of Justice 
Civil Rights Division 

WBR:MAP:TGL:gmh 

DJ 166-012-3 Voting Section 

T0357-0358 P.O. Box 66128 

T2714 Washington, D.C. 20035-6128 

February' 12, 1988 

Richard J. Rose, Esq. 

Poyner & Spruill 

P.O. Box 353 

Rocky Mount, North Carolina 27802-0353 

Dear Mr. Rose: 

This refers to the two annexations (Ordinance Nos. 0-87-51 and 0-87-57) and the designation of 
the annexed areas to wards for the City of Rocky Mount in Edgecombe and Nash Counties, North 
Carolina, submitted to the Attorney General pursuant to Section 5 of the Voting Rights Act of 1965, 
as amended, 42 U.S.C. 1973c. We received your submission on December 15, 1987. 

The Attorney General does not interpose any objections to the changes in question. However, 
we feel a responsibility to point out that Section 5 of the Voting Rights Act expressly provides that 
the failure of the Attorney General to object does not bar any subsequent judicial action to enjoin 
the enforcement of such changes. See the Procedures for the Administration of Section 5 (28 C.F.R. 
51.41). 

Sincerely, 

Wm. Bradford Reynolds 
Assistant Attorney General 
Civil Rights Division 

By: 



Gerald W. Jones 
Chief, Voting Section 



952 NOR TH CAROLINA REGIS TER 



VOTING RIGHTS ACT FINAL DECISION LETTERS 



WBR:SSC:DBM:dvs 

DJ 166-012-3 

T2225-2228 
T2858 



U.S. Department of Justice 
Civil Rights Division 



Voting Section 
P.O. Box 66128 

Washington, D.C. 20035-6128 



February 24, 1988 



Michael Crowell, Esq. 
Tharrington, Smith & Hargrove 
P.O. Box 1151 
Raleigh, North Carolina 27602 

Dear Mr. Crowell: 

This refers to the change in the method of electing the board of commissioners from at large with 
residency districts to six regular single-member districts and three consolidated single-member dis- 
tricts, the districting plan, the increase in the number of commissioners from six to nine, the imple- 
mentation schedule, and the candidate filing period for the 1988 election in Pitt County, North 
Carolina, submitted to the Attorney General pursuant to Section 5 of the Voting Rights Act of 1965, 
as amended, 42 U.S.C. 1973c. We received your submission on February 4, 1988. In accordance 
with your request, expedited consideration has been given this submission pursuant to the Procedures 
for the Administration of Section 5 (28 C.F.R. 51.34). 

The Attorney General does not interpose any objections to the changes in question. However, 
we feel a responsibility to point out that Section 5 of the Voting Rights Act expressly provides that 
the failure of the Attorney General to object does not bar any subsequent judicial action to enjoin 
the enforcement of such changes. In addition, as authorized by Section 5, the Attorney General 
reserves the right to reexamine this submission if additional information that would otherwise require 
an objection comes to his attention during the remainder of the sixty-day review period. See also 
28 C.F.R. 51.41 and 51.43. 



Sincerely, 

Wm. Bradford Reynolds 
Assistant Attorney General 
Civil Rights Division 

By: 



Gerald W. Jones 
Chief, Voting Section 



NORTH CAROLINA REGISTER 



953 



PROPOSED RULES 



TITLE 2 - DEPARTMENT OF 
AGRICL'LTl'RE 



No 



otice is hereby ghen in accordance with G.S. 
I SOB- 12 l hat the NC Department of Agricul- 
ture. Structural Pest Control Committee intends 
to adopt, amend and repeal regulations cited 
as 2 SCAC 34 .0/02. .0204. .0301 - .0302, 
.0309. .0317- .0318. .0325. .0328. .0401 - .0402, 
.0405. .0501 - .0503. .0505 - .0506. .0601, .0603 
- .0605. .0701 - .0703. .0803, .0805 - .0806, 
.0902. .0904. .1103. 

1 he proposed effective date of this action is 
July 1. 1988. 

1 he public hearing will be conducted at 1:00 
p.m. on April 22. 1988 at Board Room. Room 
359. Agriculture Building, 1 West Edenton 
Street, Raleigh. North Carolina. 



Cc 



omment Procedures: Interested persons 
may present statements either orally or in writ- 
ing at the public hearing or in writing prior to 
the hearing by mail addressed to David S. 
McLeod. Chairman of the Structural Pest 
Control Committee. P.O. Box 2~64^. Raleigh. 
North Carolina 276/1. 

CHAPTER 34 - STRUCTURAL PEST 
CONTROL DIVISION 

SECTION .0100 - INTRODUCTION AND 
DEFINITIONS 

.0102 DEFINITIONS 

(a) For the purpose of interpretation of the 
rules, regulations, definitions, and require- 
ments of the North Carolina Structural Pest 
Control Committee and the Structural Pest 
Control Law, and unless otherwise required 
by the context, the following definitions shall 
prevail, to wit: 

(26) "Infestation of a specific organism" 
means evidence of recent present activ- 
ity by that organism, visible in, on, or 
under a structure, or in or on debris 
under the structure. 
f4^+ "R e c e nt" a» t*ed m fori* .0102(a)(26) 
t-4 t+H* Section m e an -, t+wt- approximate 
time int e rval normally requir e d fof *ft 
insect t-ff similar organism h* question 
to complete eme generation. 
(50) "Unauthorized personnel" means any 
individual or individuals not belonging 
t**r h* * part otr t4+e fumigation crew 



performing Ae fumigation operation. 
given specific authorization by the li- 
censee or certified applicator to areas to 
which access is restricted by these regu- 
lations. 

(56) 'To use any pesticide in a manner in- 
consistent with its labeling" means to 
use any pesticide in a manner not per- 
mitted by the labeling: provided that, 
the term shall not include: 

(A) applying a pesticide at any dosage, 
concentration or freq uencv less than 
that specified on the labeling: 

(P) applying a pesticide against any target 
pest not specified on the labeling if the 
application is to the site specified on the 
labeling, unless the F PA has required 
that the labeling specifically states that 
the pesticide may be used only for the 
pests specified on the labeling: 

(C) employing any method of application 
not prohibited hv the labeling. 

(57) "Wood-inhabiting fungi" means any 
fungi that grow on or in wood or wood 
products including decay (rot), stain 
and mold fungi. 



(581' 



Telephone answering service 



location" means any location used for 
the sole purpose of receiving telephone 
messages. 
(59) "Partial treatment" shall mean the 
treatment of a specifically defined por- 



tion of a structure for the control or 

pieN enlu'ii <J_ ''"i 1 or nii.nL 1 uood-des- 
troving organisms. 



(4*} 4-ke terms "animal," "applicant,' 



tractantii," "branch office," "certifi e d upplicu 
tor," "commission e r." "committee." "device * ," 
"employee," "fumigants," "fungi," "insects." 
"insecticide ' 



"pest. 



"label." "Licensee.' 
"pesticide." "rep e llents 



person, 
"registered 



pesticide," "rodenticidos," em4 "structural pes* 
control" a* used m th e s e Piulos a&4 R.cgu 
lations a*e defined under G.S. 106 65.2 1. 

Statutory Authority G.S. 106-65.29. 

SECTION .0200 - STRUCTURAL PEST 
CONTROL COMMITTEE 

.0204 PUBLICATION OF LICENSEE AND 
CERTIFIED APPLICATOR ROSTERS 
(REPEALED) 

Statutory Authority G.S. 106-65.29. 



SECTION .0300 - LICENSING AND 
CERTIFICATION 



954 



SORTH CAROLINA REGISTER 



PROPOSED RULES 



.0301 FEES 

(a) License, certified applicators identifica- 
tion card, and operator's identification card 
fees shall not be prorated. All license, certified 
applicator's identification card, and operator's 
identification card fees shall be paid, in full, in 
advance of the issuance or renewal of the li- 
cense and cards, and all examination fees shall 
be paid, in full, in advance of the examination. 
Lees requir e d under the provisions of the 
Structural J 2 *** Control feaw a&4 those rules 
a«4 regulations shall be submitt e d directly to 
the North Carolina Department of Agriculture, 
Agriculture Budding, Ral e igh, North Carolina. 
te bo ease shall afty fee be collected m the field 
by »» inspector of awy other repr e s e ntativ e of 
the North Carolina Department of Agriculture. 

Statutory Authority G.S. / 06-65. 29. 

.0302 APPLICATION FOR LICENSES 
AND CARDS: EXAMINATION 

(a) Application for License L'nder the Pro- 
visions of G.S. 106-65. 26(c). A4i applicants 
who qualify f-of a license of a certified 
applicator s id e ntification ea?4 under the pro 
visions of G.S. 106 65.26 shall demonstrat e 
their competence i» the phase( s ) ef structural 
pest control f-o? which license of certified 
applicator's identification eafti afe requested 

i-* ' [ t'il-in;i ti 'i-itt.in Q *- ■ i .it i n ■ ■ ) i ,iti i' . 1 ■; V~t ■ ^ t \-i i i ■ntt.irv 
\J f IU1U1 1 C TTTTTTCTT CTTTTTTTTTTTTTTTTTTTT X.J I TTTTTTT "lit EOI I 

ano ofal examinations wh e n recommended by 

the committee: 

(2) To be considered, applications to take 
aft examination f-of a«y phas e of strut; 
turul pest control work, shall be fe- 
coived by the committee secretary at 

^^^^^^+ ^^^^^i ^^^^^^^/ t^^^^^Jl 1^± t I j ,-\ . f i 1 - * t \ I ti^*i 

e xamination. Incomplete examination 

^^^£^^^^^ C^^^^^^^^^^^L *"^ T*l j \ T~ t^i t \\ m a i A ^ i i [ \ \ \~\ m\ , 1 j t ■ I 

I K." I I 1 1 J 1 DOOI f *_^J l.'IIVI c^T 1 1 IV <_l \-T. 1 U 1 1 1 1 \J UU l\J 

shall be return e d to the applicant f-©f 
completion. Applications received by 
the committ e e secretary, compl e t e m- ah 
details after the deadline dat e , shall be 
hefe fof the Rest succeeding examina 
tioft date. Lpon approval of the appli- 
cation for examination, the committee 
sccretars ^ull nntih the applnant of 
said approval and provide the necessary' 
form(s) for the applicant to prc-retaster 
for the examination as required to Rule 
.03112(c). 
(8) Such e xaminations shall be m each of 
the subj e cts specified m the license 
phase r e lating to the respective applica 
tions. Licenses, according to such ap- 
plications, shall be granted to afty 



applicant who shaW mak e a» average of 

nn< 1 q c c * ti nr-, /{\ aamaa * m BUMiia '~>* I p a 
i hji 1999 t inii i r \ ' f^c i L'v. in i'ii luu'i i rrr i f n? 

subjects of s«eh license phases. Any 
applicant making a score of 70 percent 
or more on any license examination(s) 
shall be issued a Ucense in that phase(s) 
of structural pest control after making 
proper application therefor. 
(13) If an applicant, within 60 days after 
notification that he has failed the ex- 
amination, requests ift writing to r e view 
the examination, the committeo shall 
review the e xamination at its next 
mooting, to review the examination(s) 
the division shall review the 
examination(s) during the earliest pos- 
sible regular review session. 
(b) Application for certified applicator's 

identification card under the provisions of G.S. 

106-65.26 (a) and (b): a»4 &? 

(1) Applications filed pursuant to G.S. 
106-65.26 (a) and (b) a»4 (e+ shall be 
on a regular form prescribed by the di- 
vision. 

(3) Applications shall be either typed of 
printed i» iftk a«4 sworn to before a 
notary public of some oth e r official au- 
thorized by few to administer oaths. 
Incomplet e applications wttl be re- 
turnod to the applicant. 

(4) All applications for certified 
applicator's identification cards under 
the provisions of G.S. 106-65.26 (a) and 
(b) a»4 (e) shall be retained by the of- 
fice of the committee secretary. All 
documents filed in support of an appli- 
cation shall be kept by the office of the 
committee secretary; provided, how- 
ever, that the committee may at its dis- 
cretion permit such documents to be 
withdrawn upon substitution of a true 
copy. All examinations shall remain 
the property of the committee. 

(5) Examinations fef certified applicator's 
identification cards shall be » each of 
the phases of structural pest control fe* 
which the applicant fe seeking c e rtif 
ication. Certified applicator's idontifi 
cation cards, according to such 
applications, shall be granted to a»y 
applicant who shall make a» average of 

T~l >~1 t 1 ■ I.". - - t Li - ■ ft I { I r~. 1 T-, • . T-l t Q T-l ^■Jj'V^ Jit IItJ 

11UI t U J J I 1 1UI 1 T ' f TTCTCmT C7TT LUL 1 1 KJ 1 L1IL 

subjects of such cortifiod applicator's 
phases. Any applicant making a score 
of 70 percent or more on any certified 
applicator's cxamination(s) shall be is- 
sued a certified applicator's identifica- 
tion card in that phase of structural pest 



NORTH CAROLINA REGISTER 



955 



PROPOSED RULES 



control after making proper application 
therefor. 

(S) Upon receipt of the application for ex- 
amination, the committee secretary 
.shall pi o vide the necessary' forms for the 
applica nt to pre-iegister for the exam- 
ination as required in Rule .030 2(c). 

(& (9) Rule "302(a)(2), [3j. (5), (6), (7), 
(12) and (13) of this Section shall also 
apply to all applicants for certified 
applicator's identification cards. 

(c) Prc-registration for license and certified 
applicator examination applicants. 

( 1 ) All applicants for the license and or 
certified applicator s examination(s) 
-.hall pre-regjster with the committee 
secretary tor said examination^ ) no less 
than ten davs prior to the date of the 
examination. 

(2) Applicants who fail to pre-regjster shall 
not be permitted to take the examina- 
tion. 

(3) Pre-reastration shall include a properly 
completed application for examination. 

(d) Frequency of examination bv license ap- 
plicant limited. 

( 1 ) An applicant who initially fails to pass 
the license examination may retake the 
examination at any subsequent regu- 
larly scheduled examination. 

(2) An applicant who tails to pass the sec- 
ond license examination shall wait a 



minimum o 



f three months betwt 



each subsequent examination. 
Statutory Authority Cx.S. 106-65.29. 

.0309 RE-CERTIFICATION 

All certified applicator's identification cards 
shall expire on June 30 of each year and shall 
be renewed on an annual basis. Certified ap- 
plicators shall be certified for a five year period. 
At the end of said five year period, a certified 
applicator, at his discretion, may be re-certified 
for another five year period by choosing one 
of the following options: 

(3) license ;s and four- digit certified applica- 
tors must earn at least one of the required 
continuing certification units established 
in Rule .0300(a) in each of four years of 
the live \ear recertification period. 

(4) non-licensed three-digit certified applica- 
tors must earn at least one of the required 
continuing certification units established 
in Rule .0300(a) in at least three years of 
the live ear recertification period. 



(5) continuing certification units shall not be 
carried forward beyond the five year re- 
certification period. 

Statutory Authority G.S. 106-65.29. 

.0317 LICENSE AND/OR CARD ISSUED 
TO ADDRESS OF BRANCH OFFICE 

The license and 'or certified applicator's iden- 
tification card shall be issued to the resident 
licensee and or certified applicator at the ad- 
dress of his branch office. 44%e license and or 
certified applicator's identification eaf4 »f the- 
nonresident licensee and or certified applicator 
shall fee issued te &&*4 licensee and or c e rtified 
applicator at- tfee business address e+~ feis Fesi- 
dent agent at tfee branch office where tfee li- 

, -. , T-i . . t 1 C- K.nn ti ii,-,i,1 

CCTT3C m tTTTTTr LI . 'L. LI . 

Statutory Authority G.S. 106-65.29. 

.0318 CHANGE IN STATUS OF LICENSEE 
AND/OR CERTIFIED APPLICATOR 

(©) fe- tfee event &{ death e£ a licensee, tfee 
executor et administrator ef tfee deceased j»e¥- 

^^^^^^^^ ^^^^^^^^^ ^j^^^^T i^^^^^i U ^1^^^^^ It , i t t \ ^^^^i ^I^^^^i 

. H. f I I '.I L. ..' I VI l\- rTTTTTCT I I II f V .'"J crTTT T> TTTTTTT 1 1 l\~ UUll 

licem . ee d e ceased, e* until the next meeting &f 
tfee committee following tfee expiration (4 sai4 
00 day period, te have a qualified licensee t» 
operate *&*4 business. During tfei* 00 day pe- 
fh+4 the ase ef am- restricted use pesticide fey 
a»v person representing ««4 business agent &f 
agency shall be fey &f under tfee direct super 
vision ef a person possessing a valid certified 
applicator s identification card. 

Statutory Authority G.S. 106-65.29. 

.0325 DUTY OF LICENSE HOLDER TO 
CONTROL ACTIVITIES 

(a) If tfee branch any office or individual 
employee of a license holder is not within 75 
miles of h+s the licensee's residence, by the 
nearest public road, the licensee shall submit 
to the committee, in writing, information to 
show that he is, in fact, controlling, directing 
and supervising the structural pest control ac- 
tivities of said branch office or employee. In 
the event information submitted to the com- 
mittee by a license holder is insufficient tor the 
committee to determine that said holder is, in 
fact, controlling, directing and supervising the 
structural pest control activities of his branch 
office or employees, the committee shall re- 
quire said holder to appear before it and set 
forth, in detail, information to show that he is, 
in fact, in charge of the structural pest control 
activities of tfee his branch office or employees. 



956 



SORTH CAROLINA REGISTER 



PROPOSED RULES 



(b) It shall be a violation of the rules and 
regulations of the committee for any license 
holder to fail to adequately control, direct and 
supervise the structural pest control activities 
of his branch office or employees. 

Statutory Authority G.S. 1 06-65. 29. 

.0328 RECORDS: PESTICIDES AND 

APPLICATION EQUIPMENT USED 

All required structural pest control records, 
requir e d under these Rules an4 Regulations, 
©f work performed a©d pesticides and applica- 
tion equipment used by the lioenood operator 
licensee or four-digit certified applicator (who 

i c «■■*!->♦ f\ r\ ■ u-i-i r. I n i Mil i-\\ • I lif ,m. . i . ^ .inar'iliiri Cn*jll 

be maintained at the branch office location to 
which the license or certified applicator's card 
is issued shown ©«• tfee operator's license eei 1 - 
tilicute ©f the administrativ e business address 
©f tbe certified applicator, unless prior ap- 
proval for another location has been granted 
by the division, te the ease ©f a non rooident 
licensed operator ©? certified applicator sa*4 
records, pesticides a»4 equipment shall be 
maintain e d at the branch office shown ©» the 
license certificat e unless authorization is ©b- 
tuined from the division t© keep the records at 
the place ©f business ©f the operator's ©f 
applicator's resident agent. All such records, 
pesticides and equipment shall be made avail- 
able for inspection during regular business 
hours upon request by the enforcement 
agency, division. 

Statutory Authority G.S. J 06-65. 29. 

SECTION .0400 - PUBLIC SAFETY 

.0401 PL BI.IC SAFETY: STORAGE AND 
HANDLING OF CONTAINERS 

(a) All pesticides shall be kept securely, in 
leakproof containers and labeled as specified in 
Rule .0402 of this Section. In no cases shall 
containers of pesticide(s) be left where pets, 
domestic animals, children or other unauthor- 
ized persons might remove or consume the 
contents. Food containers shall not be used 
as pesticide containers. 

(b) When pesticidal concentrates ©f acut e ly 
toxic poison baits, pesticides are carried in or 
on a vehicle, a suitable storage space shall be 
provided thereon. a«4 under h© circumstances 
shall storage space be left unlocked ©f unat 
tended with pesticidal concentrat e s ©f acutely 
toxic poison baits expos e d. Under no cir- 
cumstances shall toxic baits of Toxicity Cate- 
gory I or pesticidal concentrates be left 
exposed, unlocked or unattended. 



Statutory Authority G.S. 106-65.29. 

.0402 LABELING PESTICIDE CONTAINERS 

AH pesticide containers, except application 
equipment ©fles« than ^Q gallon capacity, shall 
be labeled t© g*ve the following information: 
(-H manufacturer's complete brand name ©f 

product; 
{3} dilute ©f concentrat e ; 
f©4 if diluted, kind ©f dilutent f©*h water, ©f 

dust, etc.); 
f4-> signal word. 

(a) All pesticide concentrates and poison 
baits stored in containers other than original 
shall be prominently labeled to give the fol- 
lowing information: 

( 1) manufacturer's complete brand name 
of product; 

(2) percentage of each active ingredient; 

(3) HPA registration number; 

(4) signal word (as it appears on the pesti- 
cide label); 

(5) use classification, if classified, (as h ap- 
pears on the label). 

(b) All pesticide containers, except those de- 
scribed in Rule .0402(a), including application 
equipment often gallon capacity or more, shall 
he prominently labeled to give the following 
information: 

( 1) manufacturer's complete brand name 
of product; 

(2) the word "dilute" if diluted; 

(3) if diluted, kind of diluent (water, oil, 
dust, etc.); and 

(4) signal word (as it appears on the pesti- 
cide label"). 

Statutory Authority G.S. 106-65.29. 

.0405 FOLLOWING PESTICIDE LABEL 

(a) Nothing in these Rules and Regulations 
shall be construed to permit the use, handling, 
storage, or disposal of pesticide(s) or pesticide 
container(s) in a manner which is prohibited 
by EPA. 

(b) It shall be a violation of these Rules to 
use am pesticide in a manner inconsistent with 
its labeling. 



Statutory Authority G.S. 106-65.29. 

SECTION .0500 - WOOD-DESTROYING 
INSECTS 

.0501 WOOD-DESTROYING INSECTS: 
EXCLUDING SUBTERRANEAN 
TERMITES 



NORTH CAROLINA REGISTER 



957 



PROPOSED RULES 



(a) Determining Active Infestations of 
Wood- Destroying Beetles. The licensee, cer- 
tified applicator, and. or their representative) 5 ) 
making the inspection for wood-destroying 
beetles shall be responsible for determining the 
presence or absence of an active infestation(s). 
All proposals for the treatment of wood-des- 
troying insects under Rule .0501(a) and (b) of 
these Rules and Regulations shall be in writing 
and contain the name(s) of the wood-destroy- 
ing insccts(s) to be controlled, that part of the 
structure to be covered under the agreement 
(entire structure, understructure only, entire 
interior of the garage, etc.), and the basis on 
which the licensee, certified applicator, or their 
rcpresentative(s) determined the infestation to 
be active or inactive as set forth herein below: 
(1) Powder Post Beetle(s) (Anobiidae. 
Bostrichidae and Lyctidae) 
(C) 44*e effectiveness e£ a pesticid e treat 
m e rit fof powder post beetle infestation 
I Anobiidae affo I yctidae) cannot be 
accurately determined until at least ©«e 
complete adult beetle e mergence period 
h*» occurred after the initial treatment. 
If a license e performs a guaranteed or 
warranted treatment for powder post 
beetles, the period of the guarantee or 
warranty shall be a minimum of 18 
months. 



f-D-f Structures initially treated with a 
pesticide(s ) fof powder post beetles 
(Anobiidae affo I yctidue) during the 
period from September 1- through April 
tW4 e# any given y-eaf should aet be m- 
spected before September 4- &f the fol- 
lov i ing y-eaf ($ te442 months aft e r initial 
treatment). 

t+4 Structures initially treated with a 
pesticide! s) fof powder post beetle 
(Anobiidae a«4 I yctidue > during the 
period from Mas 4- through August ^4- 
el a«y- given jrea* should net be m- 
spected before September 4- e4 the fo4- 
lowing y-eaf (-4-3 k» 4A months aft e r 
initial treatment). 

(4*4- Thte hconsoe ©f certified applicator 
who performs treatment a* specified m 
Paragraph <4for R-ttle .0501(a)! 1), shall 
he responsible until September M* e£ 
the lollovring y-eaf fof the control el safo 
infestation. 

t-44-f ( D) If an active infestation of pow- 
der-post beetles (Anobiidae and Lycti- 
dae) is found by_ the division in am 
structure treated for said beetle -. alt e r 
t*«e during or after the first complete 
adult beetle emergence period ha* ©e- 



curr e d mai within the time specified in 
the contract, » aay structure initially 
treated fof *afo beetles, the licensee or 
certified applicator responsible for said 
treatment shall retreat the structure 
within 30 days of written notice from 
the enforcement agent, division, Re- 
treatment shall be made, performed. 
upon request of the e nforcement 
agency, division, in the presence of a 
structural pest control inspector. 
(e) 44*e following pesticides may he used fof 
the control 94^ wood destroying insects other 
than subterranean termites: a#ty pesticide ap- 
proved by EPA which ts- used » accordance 
with label instructions. 

(4+ (c| Re-application of Pesticide(s) to 
Structures for a Specific Wood- Destroying In- 
sect which was Previously Treated for that 
Wood- Destroying Insect. Any re-application 
of pesticides under Rule .0301 shall be in ac- 
cordance with the label of the pesticide used. 
Re application t*4 pesticide(s) t» structures fof 
the prevention and or control ©4 a wood des 
t roving insect after a» initial treatment shall 
»et he allowed except under the following 
conditions: 

(-H Visible evidence e£ a» active infestation 

©4 the wood destroying insect: ef 
(-34 Altered conditions m the treated area: 

&f 
(4} T4*e structure is aet currently under 
contract fof the prevention and or con 
tf»4 ef the wood destroying insect with 
the licensee re applying the p e sticid e ) s). 

Statutory Authority G.S. J 06-65. 29. 

.0502 PESTICIDES FOR SUBTERRANEAN 
TERMITE CONTROL 

A«y- p e sticid e taay- he used fof the prevention 
and ' or control el subterranean termites pro 
vided that it b e ars as EPA approv e d label fof 
such «*e &f*& the pesticide ** applied according 
te the directions &4 its label. Anv pesticide 
applied for the control or prevention of sub- 
terranean termites shall be applied onlv at the 
dosage, concentration and frequency specified 
on the labeling. 

Statutory Authority G.S. 106-65.29. 

.0503 SUBTERRANEAN TERMITE 

CONTROL: BUILDINGS AFTER 
CONSTRUCTED 

(a) Basement or Crawl-Space Construction: 

(5) Eliminate all wooden parts between the 

building and soil, both outside and in- 



958 



XORTH CAROLIXA REGISTER 



PROPOSED RULES 



side, except those which are determined 

to be pressure treated: 
(F) Where houses or decks are built on 
pressure treated wood pilings or pillars 
said pilings and pillars, including wood 
step supports, shall not be subject to 
Rule 0303(a)(5)(A), (B) or (C). 
Drill and treat above highest stfe Ifee 
en* cither sfoe fe wail » orde'r te trout 
aH void ii » multipl e masonry founda 
tR+» ch+4 hearing wall ;. : all voids m 
multiple masonrv foundation and bear- 



(6) 



ing walls (including porch walls) and all 
voids created by their placement. 
(A) The distance between drill holes shall 
not exceed 16 lineal inches atfo tfehl 
hol e s shall be deep e nough to reach the 
void(s). A-fl multiple masonry founda 

rTTTTT til I U 1 '111 I H H ' 1 1 tTTTTTTt tTTTTTTT 11 1 V Ut 1 1 It- 

level eh fo. contact with. e* extending 
below the sell shall be drilled affe 
treated, and holes shall be no more 
than 16 inches above the footing or 
immediately above the lowest soil level 
whichever is closest to the footing. 

/ R i 1£ mall i*i K.^il., ,,- . laifljma] i^l.^ .i^ii 

^ U j TT ' ' 111 1 rTT 111. 1 1H i II .111 111. I LI 1 II I I I 1 1 ' K. 11 -J , U 1 111 

block ' . . , except those which afe few 
inches thick, at- each void m- e«e few 
above highest se+1 bhe e» either sfee ef 
wall, unless blocks afe accessible from 
top, ef unless blocks have ; . olid n»- 
sonry eae consisting ef solid poured 
concrete. The drilling of voids in four 
inch thick hollow structural block shall 
not be required under this Rule. 
(C) Dffe. befos- shah be treated with a 
tennitieide under sufficient pressure te 
cover all cracks affo voids therein below 
the level ef application. Test drill the 
main foundation wall behind any porch 
or slab area to determine it the porch 
or slab is supported by a wall whose 
placement creates a void between itself 
and the main foundation wall . If test 
reveals that a void exists, drill and treat 
all voids therein as specified in this 



Rule. 



(7) 



Drill and treat all voids in all multiple 
masonry' pillars, pilasters, chimneys, 
and step buttresses, and any void cre- 
ated by their placement: except hollow 
structural block pillars a«4 pilasters 
which have solid masonry caps consist 
fog ef structural blocks with the wide 
faces turned down ef solid poured con 
ciete. 
(A) The distance between drill holes shall 
not exceed 16 lineal inches affo holes 



i-1mi1| l-t.-t 1 . » . ua anniiiili * ■ a ri~\ -i ■ •■ l-i Ht.i . • ■ | r i 4 . t «■ 
,'MTII1 T '\. Ii \.M I ' LIIVUh.11 TTT TTTinT Z n V CUTIIvl 

mortar joint. and shall be no more 
than 16 inches above the footing, or 
immediately above the lowest soil level, 
whichever is closest to the footing. 



fft+ Dftll holes shah be treated w+tb a 
termiticide under suffici e nt pressure te 
cov e r all cracks affo voids therein below 
the level ef application. 

(€) (B) Drilling shall not be required if 
solid concrete masonry footings of pil- 
lars or pilasters, or chimneys, or steps 
buttresses extend eight inches or more 
above top of soil surface. 

(C) The drilling of voids in four inch 
thick hollow structural block shall not 
be required under this Rule. 
(&} U foundation walls ef dirt filled con 
creto porches, ef concrete slabs over 
dirt fill e d areas, have voids, tfoll affo 
tr e at with a tennitieide aft voids therein, 
as specified fof foundation walls, with 
eat solid poured concrete caps, fof a 
distance 9# throo feet from the main 
foundation wall. Where wooden otruc 
tural members afe fo contact with the 
porch floor over joints ef cracks, more 
than three feet from the building foun 
dation wall, the porch ef slab afea 
foundation wall(s) shall be drilled affo 
treated, a* specified fof building foun 
dation walls, fof a distanc e ef three feet 
fe both directions from the point ef 
wood contact with the porch ef slab 
area, fo crawl spac e construction, test 
drib 1 the building foundation wall abut 
tfog the dirt tilled concrete porch ef 
slab afea te determine if wall has voids. 
If test reveals that wall has voids, drib 1 
a«4 treat all voids ther e in as specified 
fof foundation walls. 
(9) Where concrete slabs over dirt -filled 
areas are at the level of, above the level 
of, or in contact with, wood foundation 
members treat dirt-filled areas as fol- 
lows: 

(A) Drill vertically one- fourth half of one 
inch or larger holes in the slab, no more 
than eight inches from the building 
foundation, at no more than 16 inch 
intervals and treat soil below slab; with 
a termiticide; or 

(B) Alternativ e ly Drill horizontally one- 
fourth half of one inch or larger holes 
in the foundation wall of the concrete 
slab, no more than eight inches from 
the building foundation, affo every 16 
vertical inches starting immediately be- 



NORTH CAROLINA REGISTER 



959 



PROPOSED RULES 



low the bottom of the slab and rod treat 
all soil adjacent to building foundation 
with a tenniticid e . from the bottom of 
the slab to the lowest outside grade. 

(10) Treat hunch and or f**4 soil adjacent 
to. but not more than eight inches 
from, all pillars, pilasters, chimneys, 
pressure treated wood supports and step 
buttresses; inside of foundation walls; 
outside of foundation walls; the outside 
of foundation walls of concrete slabs 
over dirt-fiHed areas and the entire out- 
side perimeter of a slab foundation wall. 
a«4 tr e at s*4l with a termiticido. U the 
footing is exposed, apply tl+e tenniticide 
to the s**ii adjacent to the tooting, J^se 
t4 trench, depth el trench a«4 fetaaee 
between Ft+4 holes w-tU depend upon 
type e4 foundation planting '. , type ef 
s*m4t tt«4 depth el footing. Where out- 
side concrete slabs adjacent to the 
foundation prevent trenching of soil, 
drill one- fourth half of one inch or lar- 
ger holes, not more than 16 inches apart 
and within a foot of the foundation 
wall, through slabs or through adjoin- 
ing foundation wall, and treat soil be- 
low slabs; with a tenniticide. except 
that three-eighth inch holes may be 
used if the bottom of the slab is no 
more than three feet above the top of 
the footing. The soil immediately 
around pipes and other utility conduits 
making contact with se+i an4 wood of 
the structure, shall be trenched and or 
rodded an4 treated, with a tenniticide. 

(-H-+ Packing around pipes, it tn+t removed, 

PTTTTTT t*t? 1 1 t^.1 I V\S W I {. 1 1 CT It! 1 I I 1 t 1 1_ I O tr 111 I t?I 

breaking contact between the packing 
em4 the ground. 
(12) Where stucco on wood or similar type 
materials extend to or below grade, 
trench soil to a depth below and under 
the edge of the stucco or similar type 
materials and treat soil. w-i*k a t e rmiti 
cide. After the soil has been treated, a 
masonry barrier wall may be erected to 
hold back the soil from making direct 
contact with the stucco or similar type 
materials. Where outside slabs on 
grade adjacent to foundation prevent 
trenching of soil, drill one- fourth half 
of one inch or larger holes through slabs 
B**t more than 44 inches apart <m4 
within eight inches a feet- of the foun- 
dation wall, through slabs or through 
adjoining foundation wall, not more 
than 10 inches apart and treat soil be- 



(b) 
(2) 



low slabs; v . ith a termiticido. except 
that three-eighth inch holes may be 
used if the bottom of the slab is no 
more than three feet above the top of 
the footing. 
Slab-on-Ground Construction: 
Drill vertically one- fourth half inch or 
larger holes, at all visible or known ex- 
pansion and construction joints, cracks, 
and crevices in slab and around all util- 
ity conduits in the slab at no more than 
16 inch intervals and treat soil below 
slab; w-*tb a termiticido. except that 
three-eighth inch holes may be used if 
the bottom of the slab is no more than 
three feet above the top of the footing. 
Where wooden structural members are 
in contact with concrete or masonry 
floors which have joints or cracks be- 
neath the wooden structural members, 
including wall plates in utility or storage 
rooms adjoining the main building, the 
concrete or masonry shall be drilled and 
treated with a termiticido in order to 
achieve treatment of the soil beneath 
them. As an exception, expansion and 
construction joints at the perimeter of 
the exterior wall may be treated by 
drilling through the foundation wall at 
no more than 16-inch intervals directly 
below the bottom of the slab. a&4 ap- 
plying the tenniticide. 
{£f Drill, at- &f near the footing, voids el aH 
multiple masonry - chimneys, pillars, pi- 
lasters. a«4 step buttresses adjacent to 
foundation walls, e* which penetrate 
concrete slabs. &&4 treat voids with a 
tenniticide. 

frV} T4*e distance between dftH hol e s shall 
ftto- exceed 44 inches aftd holes shall be 
deep enough to r e ach the center mortar 
joint. 

f44> Oh44 holes shall be treated witk a 
termiticido under sufficient pressur e to 
cover all cracks a«4 voids therein b e low , 
the level el application. 

{Q} Dnlhng shall net be required tf solid 
concrete masonry footing el multiple 
masonry structur e s oxtond to tbe top 
t*F above the top el slab. 

(4) ih Rule .0503(a) U+ ^h @h f+h ^ 

f4+T to> (8)r fft-h mh t4+h <-to^ m4 

f44f of this Section shall be followed, 
tf any ef all ©£ toe above, apply to es- 
i sting slab on ground construction. 
(c) Reapplication of Pesticide(s) to a Struc- 
ture Previously Treated for Subterranean Ter- 
mite Control. The reapplication el pesticides 



960 



\ORTH CAROLINA REGISTER 



PROPOSED RULES 



to a structure e* structures for- the prevention 
and /or control e+ subterranean termites after 
a» initial treatm e nt ef said- structure ©f struo 
tures for- termites shall r+»t be allowed except 
und e r the following conditions: 

(1) Visible evidence ef- aft- activ e infestation 

ef subterranean termites; e* A reappli- 
cation of termiticidc shall be required if 
soil test by the division reveals that the 
soil is deficient in the tenniticide which 
was applied to the soil. 

(2) Extremely sandy set! permitting percola 

1 1 .in ■ % I 1 1 ^ , •. t*\i v li i iiii w i 1 i 1 1 i j t \ 1 th-i t r*j 'i<'' I 

area; ©t Any reapplication of pesticides 
under Rule .0503 shall be in accordance 
with the label of the pesticide used. 

Altered conditions h* the treated ar e a; 
©f 

4-be structure is ft©t currently undor 
contract fof the prevention and or con 
to4 ©f subt e rran e an tennites with the 
licensee ©f certified applicator reapply 
fog the pesticido(s); ©f 
&©*! test by the department reveals foat 
the sfol is deficient h* the tenniticide 
which w«+s appli e d to the s©fo 



consisting ©f solid i 
44*e tenniticide shall 
voids, und e r sufficient 



©f masonry. 
be appliod to- 

j TTT 1 1UUU 



(5) 



Statutory Authority G.S. 106-65.29. 

.0505 SUBTERRANEAN TERMITE 

PREVENTION FOR BUILDINGS 
UNDER CONST. 

(a) Basement or Crawl-Space Construction 

(1) Treat the soil along inside of the main 
foundation wall; the entire perimeter of 
all multiple masonry chimney bases, 
pillars, pilasters, and piers; and both 
sides of partition or inner walls, w+th- 
a tenniticid e . U the footing is exposed, 

a t^.r-ill : tin * . i«-»t-i i(i,",l,i t si ♦ ti . i r/nl -t,it-A .--jv»->* 
1'1'lT 1 1 It? Id 1 I I It TlHW TV? II 1^ TTVTTT CfO JIH~™M T 

to the footing. 

(2) After a building or structure has been 
completed and the excavation filled and 
leveled, so that the final grade has been 
reached along the outside of the main 
foundation wall, trench a«4 treat the 
soil adjacent to, along and not more 
than eight inches from, the outside of 
the main foundation wall. with a 
tenniticide. -H- the footing is exposed, 
apply the tenniticide to the s©tl- adjacent 
to the footing. 

(3) Apply a tenniticide to Treat all voids of 

WW* masonry foundation walls, piers, 
pillars, pilasters, chimneys, and other 
supporting or attached unit masonry 
structures, except wher e void ', afe to 
be capp e d with a solid masonry eap 



all cracks aftd voids therein below the 
l e v e l ©f- application. 

(4) Apply a tormiticido Treat to soil within 

three feet of the main foundation, under 
slabs, such as patios, walkways, drive- 
ways, terraces, gutters, etc., attached to 
the building. -Phe t e nniticide Treat- 
ment shall be applied performed before 
slab is poured, but after fill material has 
been spread. 

( 5) Apply a» over all treatment ©f- a tormiti 

eide Treat soil under the entire surface 
of floor slabs, such as basements, 
porches, entrance platforms, garages, 
carports, breezeways, sun rooms, etc. 
The tenniticide treatment shall be ap- 
plied perfonned before slab is poured 
but after fill material has been spread. 

(6) to. addition to treatment outlined above, 

apply a tormiticido to and- Treat soil 
around all critical areas such as expan- 
sion and construction joints electrical 

.'iMi.lintr ■ i i r I'An/litifininii i r, a«-» t r- hnfitirin 

mns«TO) tii i L.'i 1 1 itj iiiviniiiL, i Liiij) 1 1 on nnc 

aftd plumbing outlets, pipes, utility 
linos, eto-r at their point of penetration 
of the slab or floor. 

/ .'\ Fr. .-it m ^ii< ■- V. •. I I nnt Wfi m 'i/lq i i ■)-. . i i"i {Kit 

* *- / I reCRtBOttt OTfTTTT 111. J I t *V I I1UUP M ROR ITTU 

s©il ©f fill is excessiv e ly wet ©f immediately af- 
tef heavy rains, to avoid surfaco flow ©f the 
tenniticid e from the application siter Unless 
the treated ar e as a*e to be immediately oov 
ered, precautions shall be taken to prov e nt 
disturbanc e ©f- the treatment by- human ©f a»- 
imal contact with the troatod surfac e . 

Statutory Authority G.S. J 06-65. 29. 

.0506 WOOD-INHABITING FUNGUS 
CONTROL 

(a) This Rule shall apply only to licensees 
or their authorized representatives representing 
themselves as engaging in the prevention or 
control of wood-inhabiting fungi. 

(b) Identifying Wood- Inhabiting Fungi: 

(1) Before placing a structure under con- 
tract for the control or prevention of a 
wood-inhabiting fungus, the licensee, 
certified applicator and/or their 
representative(s), shall identify the types 
of wood-inhabiting fungi in question 
and inform the property owner, or their 
authorized representative, in writing of 
the identity and habits of the fungi, 
[mold/ mildew/stain fungi, water-con- 



NORTH CAROLINA REGISTER 



961 



PROPOSED RULES 



ducting fungus, wood-decay fungi 
(brown or white rot)]. 

(2) No licensee, certified applicator, or their 
representative(s) shall represent to a 
property owner, or his authorized rep- 
resentative, that a wood-decay fungus 
infestation is active when the moisture 
content of the wood members in ques- 
tion is below 20 percent on a dry weight 
basis, as determined with a moisture 
meter, 
(e) Use of Pesticides for the Control or Pre- 
vention of Wood-Decay Fungus Infestations. 

( 1 ) Surface application of pesticides may 
be used in the control or prevention of 
fungus infestations only when rapid kill 
of surface fungi is specifically requested 
by the property owner in writing in the 
contract. In such instances, moisture 
control techniques must be used in 
combination with pesticide treatments. 

Statutory Authority G.S. 106-65.29. 

SECTION .0600 - WOOD-DESTROYING 
ORGANISMS AGREEMENTS 

.0601 AGREEMENTS 

(a) Before any work is started, the licensee 
or his authorized agent shall be responsible for 
executing a written agreement with, and in- 
forming, in detail, the property owner or his 
authorized agent as to the type and quality of 
work that is to be performed under the agree- 
ment. e» any f»b whether rt- meets minimum 
requirements ef ttetr 

( b ) A written agreement e» a j*4* which dees 
w-4 meet minimum requirements shall mean 
««¥ written agreement, entered t»k» by the li- 
censee ef hi* authorised agent . fef the control 
e* pr e vention el wood destroying organisms 
t+f pests, m which treatment iof the control ef 
prevention ef such organisms ef pests, is ftet- 
k+ be peiiormed m- accordance with minimum 
requirements a* h e r e in set- forth. If a partial 
treatment is to be performed under Rule .051)3, 
the written agreement shall state: "The treat- 



men^ proposed bv this contract ^s a partial 
treatment. ( )nl\ those areas indicated on the 
attached foundation diagram will be treated. 
Treatment ol these areas will be performed 
according to North Carolina minimum re- 
quirements for subterranean termite control 
except as specified by the attached waiver 
torm." 

Statutory Authority G.S. J 06-65. 29. 



.0603 WAIVERS 

(a) If fof aft¥ reason, there are any deviations 
or omissions from the minimum requirements 
for the control and/or prevention of wood- 
destroying organisms or pests, as herembefore 
set forth, each requirement e* item omitted 
shall be fully explained, in writing, prior to any 
work being done, on the waiver form(s) pre- 
scribed by the committee, bear the written ap- 
proval of the property owner or his authorized 
agent, and shall be made a permanent part of 
the written agreement, e* contract. A copy 
ef the above waiver form shall be given to the 
property owner e* his authorized agent within 
3© days from the date ef the contract covering 
wood destroying organisms. A duplicate copy 

■ ^ i * Tt I i 1 i I I m :.ir I . VjaOJ I 1 1 I I 1 1 I I.I U - **~*< ■ » t fa i > i « 1 Ofl Ql 

trr 1 1 1^ wui v^r ttttttt ttttttt k.*\j inpi rrr 1 1 tv i ii\? j trr 

the licensoo. 

Statutory Authority G.S. 106-65.29. 

.0604 WOOD-DESTROYING ORGANISMS 
RECORDS 

(a) A duplicate of each written agreement 
and wai%'er (if applicable), including wood- 
destroying insect reports or wood-destroying 
organism reports, for the control of any 
wood-destroying organism shall be kept by the 
licensee at- the sam e location a* the license a»4 
made available, at the request t>£ the enforce 
ment agency «*f committee for a minimum of 
two years beyond the expiration date of the 
written agreement. The duplicate &f licensee's 
copy, of each written agreement shall contain, 
in addition to the information specified under 
Rule .0605(a) ffof treatment ef a» ousting 
building) or Rule .0605(d) (fef treatment e£ a 
building under construction) trf this Section 
the following: 

( 1) EPA approved brand common name ($} 
of pesticide used; and 

(2) if a restricted use pesticide is used, That 

information required by EPA. 

fb^ li ' Uch nonresident licens ee aft4 each non 
resid e nt certified applicator shall maintain with 
his resident agent » the Stat e ef Noil It Caro 
h»a a set- »£ structural pest- control records as 
complete as those required by resid e nt been 
sees a«4 resident certifi e d applicators. Those 
records shall be maintained at- the sam e le- 
cation as the license unless approv e d otherwise 
by the committee. 

(e) (b] Four-digit certified applicators wbe- 
aw net- licensees ef acting as authorized repr e 
sentatives ef- a licens ee a«4 v > ho »se a restrict 
ed us e pesticide h+f the control ef- 
wood destroying organisms, shall maintain a»4 
retain thos e records required by EPA at- the 



962 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



address ©f t4»e certified applicator ©f at their 
administrative business ad&ess ©f the address 
©£ their resident agent the following records for 
two years beyond the last date of treatment: 

( 1) EPA approved brand name of all pesti- 
cides used; 

(2) Target pest; 

(3) Site of application; 

(4) Date of application; and 

(5) That information required by 1'PA. 



Statutory Authority G.S. 1 06-65. 29. 

.0605 CONTRACTUAL AGREEMENTS FOR 
WOOD-DESTROYING ORGANISMS 

(a) All agreements for the control and/or 
prevention of wood-destroying organisms in 
existing structures shall be in writing. A copy 
of the executed written agreement and waiver 
(if applicable) pertaining to said treatment(s) 
shall be presented to and furnished the prop- 
erty owner or his authorized agent, for accept- 
ance, and shall clearly set forth or include the 
following: 

(7) For existing structures the written 
agreement shall include a foundation 
diagram ©f sketch of the structure or 
structures or portions of such structure 
or structures inspected. The diagram 
shall clearly indicate and make full dis- 
closure thereon the location of individ- 
ual water sources, any visual evidence 
of wood-destroying organism infesta- 
tion, whether it be active or inactive, 
and damaged timbers. If a partial 
treatment is to be performed the dia- 
gram shall clearly indicate all the areas 
of the structure to be treated. 

Statutory Authority G.S. 106-65.29. 

SECTION .0700 - HOUSEHOLD PESTICIDES 

.0701 PRECAUTIONS 

(a) Household pest control servicemen's kits 
which contain pesticides shall m h© ease not 
be left where pets, domestic animals, children 
or other unauthorized persons might remove, 
contact, or consume the contents, and name 
of company licensee represents. 

Statutory Authority G.S. 106-65.29. 

.0702 HOUSEHOLD PESTICIDES: FOGGING 

(e> bogging 
f4-+ (aj Each licensee or his authorized agent, 
before applying any flammable pesti- 
cidal fog produced by thermal, me- 



chanical or cold fog generators, shall 
notify the fire department, having juris- 
diction over the location where the 
fogging material is to be applied, of the: 
addrcss(es) of property(ies) to be 
fogged; time fog is to be applied; time 
of ventilation; and name(s) of 
pesticide(s) used. Liquefied gas aer- 
osols are exempt. 

(3) (b| A fire extinguisher, in serviceable 
condition, for Class B and C fires shall 
be in the immediate possession of the 
serviceman(men) during the fogging 
period. 

f3-f (c| All fires, flames, and pilot lights shall 
be extinguished prior to the application 
of any flammable pesticidal fog. All 
electrical equipment, which might be 
activated during application of a 
flammable fog, shall be disconnected, 
unless refused by the property owner 
or his authorized agent. Liquefied gas 
aerosols are exempt. 
(b4 Space a«4 Re » jidual Spraying 

(44 J» ar e as wh e r e treatment is t© be mado, 
all open food ©* foodstuffs, ©? drug 
commodities and aH utensils ©f equip 
ment used m tbe preparation ©f food 
©f drugs shall be adequately covered ©f 

f, miiTiM.-l K.^4.-if. i <k;\ itMilwiti, -Wl I •> T r^Oi>J 

I V. I I 1\ t 1 ^7_J ( '\- 1\ f 1 I. I I \\J 111 'I ■ I J L U 1 1 U 1 1 KJ I a poco 

sprays, ©f complete, ©f spot surface Fe- 
sidual sprays, t© insure against contam 
ination by pesticidal materials, except 
where such pesticidal materials afe ap- 
p roved by EPA and State ©f North 
Carolina label registrations fe* »se 
without such precautions. 
(-3) Spac e sprays, ©f complete surfac e rosi 
d«al sprays, shall n©t- be applied unless 
the structure ©f tbat portion ©f tbe 
structure te- be tr e at e d is free ©f ooou 

n ^-m 1 1- • ■ «t . I ii.it l- i 1 i i n ti ; > t \-i ±\ t f l V I t Til . > T 1 1 ' I It I 1 
1 ' (.1 1 1 1 - 1 til TK1 1'Ll.l UU1 IIIC 1 1 HJ ii vuuiivin CTTT^T 

subsequent ventilation period(s), e xc e pt 
whore such pesticidal materials are ap- 
proved by EPA an4 State ©f North 
Carolina label registration f-©F «se with 
©trt- such precautions. 

Statutory Authority G.S. 106-65.29. 

.0703 WRITTEN RECORDS OF 

HOUSEHOLD PEST CONTROL 

(a) Written records on the treatment for the 
control of all household pests shall be main- 
tained and made available for inspection any- 
time during regular business hours upon 
request from the enforcement agency. Such 
records shall include the following information: 



. L 



NORTH CAROLINA REGISTER 



963 



PROPOSED RILES 



(5) EPA approved common brand name 
of pesticide used; and 

(6) tf a restricted use pesticid e is used, That 

information required by I: PA. 
(b) (w Pour-digit certified applicators who 
aw v*M- licensees t*f acting as authorised repre 
sentatives ef a Iicenr .e e an4 who »*se a restrict 
ed us e pesticide fo* &e control ef household 
p**ts all »f Rale .0703(a) ef this Section shall 
kt» followed, shall maintain the following re- 
cords of pesticides applied: 

( 1 ) EPA approved brand name of all pesti- 
cides applied; 

(2) Target pest: 

(3) Exact site of application; 

(4) Date of application: and 

(5) Anv information required by EPA. 

Ic) Records must be retained at- tfe© address 
e+ the certified applicator &f tfee licensee ©f at 
their administratis e business address e* the 
addr e ss of th e ir resident agent for two years 
beyond the last date of treatment. 

StaiutPty Authority G.S. 106-65.29. 

SECTION .0800 - FUMIGATION 

.0803 WRITTEN RECORDS OF 
FUMIGATION 

(b) fe certified applicator ;, who a*e set h- 
seasees ©f acting as authorised representatives 
t*f a licensee a»4 who «s<* a restricted use pes 
ticide all ef Rale .0S03(a) ef this Section shall 
apply. Pour-digit certified applicators shall 
maintain the following records of pesticides 
applied: 

( 1 ) EPA approved brand name of all pesti- 
cides applied; 

(2) target pest; 

(3) E xact site of application; 

(4) Date ot application: and 

(5) Anv information required by EPA. 

(c) Records must be retained at- the addr e ss 
ef the c e rtifi e d applicator ef the licensee ef at 
their administrative business addr e ss ef the 
address of their resident agent for two years 
beyond the last date of treatment warrants. 
or the expiration date of the written agreement . 
if applicable. 

Statutory Authority G.S. 106-65.29. 

.0805 FUMIGATION REQUIREMENTS: 

SAFETY AND SAFETY EQUIPMENT 

(b) Each certified applicator or licensed fu- 
migator. when engaged in fumigation work, 
shall maintain at his business location up-to- 
date information on the handling and use of 
fumigants, devices and materials for testing for 



the presence of fumigants; and safety and test- 
ing devices, such as gas masks, canisters, self- 
contained breathing devices, gas detectors, 
which are in serviceable condition, as required 
bv the labeling of the fumigant(s) being used. 

(d) Each certified applicator and each li- 
censed fumigator, shall be outfitted with a fu- 
migation safety kit, which shall be maintained 
in completely serviceable condition and shall 
be continuously and immediately available at 
the fumigation site during the fumigation pe- 
riod of each fumigation job in progress. Each 
member of the fumigation crew shall be famil- 
iar with the contents and use of a safety kit. 
The safety kit shall contain a serviceable gas 
mask or self-contained breathing apparatus, as 
required bv the label of the fumigant being 
used, a gas detector and a flashlight. The gas 
mask or breathing apparatus shall be of a type 
approved by the United States Mining En- 
forcement and Safety Administration or Na- 
tional Institute for Occupational Safety and 
Health with correct canister and gas detector 
for the type of fumigant used. 

Statutory Authority G.S. 106-65.29. 

.0806 FUMIGATION REQUIREMENTS FOR 
FUMIGATION CREW 

(c) At least two members of the fumigation 
crew shall be equipped with a serviceable gas 
mask or self-contained breathing apparatus of 
a type approved by the United States Mining 
Enforcement and Safety Administration or 
National Institute for Occupational Safety and 
Health with correct canister for the type of gas 
used, and shall wear such masks while in the 
enclosed space during and after liberation of 
the fumigant, until initial ventilation is com- 
pleted, except in those cases specifically ex- 
cluded by label registration. 

Statutory Authority G.S. 106-65.29. 

SECTION .0900 - DUTIES AND 
RESPONSIBILITIES OF LICENSEE 

.0902 FINANCIAL RESPONSIBILITY 

(b) Minimum limits: 
Property Damage 

S 10.000 $ 100.000 Each Occurrence 

Bodily Injurv 

$100,000 $30b.OOO Each Occurrence 

(c) Each applicant for a license in any phase 
of structural pest control shall show evidence 
of his financial ability to properly indemnify 
persons suffering from the use or application 
of pesticides in the form of a Certificate of In- 
surance, completed by the insurance company 



964 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



with the Structural Pt»t- Control division »f the 
North Carolina Department tft Agriculture 
named as a certificate holder. 

(d) The Certificate of Insurance shall clearly 
set forth the type coverage, limits of liability, 
and any exclusions of the insurance policy and 
shall have attached a copy of cither endorse- 
ment GL 04 17 or CG 0]_ 57 or other subse- 
quent "Pesticide or 1 lerbicide Applicator 
Coverage" endorsement approved by the 
North Carolina Department of Insurance 
which provides for pollution and contam- 
ination coverage. 

(f) The insurance policy(s) shall be with 
companies licensed, or otherwise approved to 
do business in North Carolina, by the NC 
Department of Insurance. by ft*» Statu ©£ 
North Carolina. The insurance policy shall 
be in full force and effect during the entire pe- 
riod covered by the license certificate. The li- 
cense shall expire at expiration or upon 
reduction of the policies below minimum re- 
quirements or cancellation thereof. Such ex- 
pired license shall only be reinstated upon 
satisfactory proof from the licensee that he has 
obtained the required financial responsibility 
coverage. 

(i) The committee may accept other evidence 
of financial responsibility, ft iii 'i iiranc e is «et- 
available ' *t reasonable terms. 

Statutory Authority G.S. 1 06-65. 29. 

.0404 PROHIBITED ACTS 

(g) No certified applicator, licensee or his 
employees shall represent to any property 
owner or his authorized agent or occupant of 
any structure that any specific pest is infesting 
said property, structure, or surrounding areas 
thereof, if unless strongly supporting visible 
evidence of such infestation does ftet oxist. 

Statutory Authority G.S. 106-65.29. 

SECTION .1 100 - INSPECTION FEES 

.1103 RE-INSPECTIONS 

fa) If a major discrepancy, as defined by the 
committee, is found by the enforcement 
agency, the licensee or certified applicator re- 
sponsible for said discrepancy shall be notified, 
in writing, as specified in Rule .1102(c) of this 
Section of the discrepancy. At the end of 30 
days from the date of notification a rein- 
spection shall be made by the enforcement 
agency to determine if the discrepancy has 



been corrected. The licensee or certified ap- 
plicator responsible for the discrepancy shall 
be charged a fee of ten dollars ($10.00) for the 
reinspection. The disclosure of a major dis- 
crepancy by the enforcement agency shall re- 
quire a reinspection and correction of the 
major discrepancy before the date of rein- 
spection shall not relieve the licensee or certi- 
fied applicator of the responsibility to pay the 
reinspection fee as heretofore set forth. If the 
major discrepancy is not corrected on the first 
reinspection date, the licensee or certified ap- 
plicator shall be notified, in writing, and a sec- 
ond reinspection shall be made at the end of 
30 days from the date of notification. A fee 
of twenty fivo dollars ($25.00) fifty dollars 
($50.00) shall be charged the licensee or certi- 
fied applicator for the second reinspection. If 
the major discrepancy is not corrected on the 
second reinspection date, the licensee or certi- 
fied applicator shall be notified, in writing, and 
a third reinspection shall be made at the end 
of 30 days from the date of notification. A fee 
of fifty dollars ($50.00) one hundred dollars 
($100.00) shall be charged the Licensee or cer- 
tified applicator for the third reinspection. 
This reinspection procedure shall be repeated 
at 30-day intervals thereafter until all major 
discrepancies have been corrected. A fee of 
fifty dollars ($50.00) one hundred dollars 
($100.00) shall be charged the licensee or cer- 
tified applicator for each reinspection made af- 
ter the date of the third reinspection. If more 
than one major discrepancy is found on a job 
at any time by the enforcement agency or 
committee, the licensee or certified applicator 
responsible for the job shall be charged only 
one reinspection fee for each reinspection of 
the job. All such reinspection fees, as set forth 
herein, shall be paid within 30 days of written 
notice from the enforcement agency or the 
committee. Failure of the licensee or certified 
applicator to pay all such fees, within the time 
specified herein, is a ground for disciplinary 
action by the committee. 

Statutory Authority G.S. 106-65.29. 

TITLE 10 - DEPARTMENT OF HUMAN 
RESOURCES 

[yotice is hereby given in accordance with G.S. 
150B-I2 that the Department of Human Re- 
sources intends to amend and repeal regulations 
cited as 10 NCAC 3R .0105 - .0106, .0108, 
.0208 - .0211, .0303, .0307. 



/WORTH CAROLINA REGISTER 



965 



PROPOSED RULES 



1 he proposed effective date of this action is 
July 1. 1988. 

1 he public hearing will be conducted at 9:00 
a. ru on April 15. I9SS at Hearing Room, 
Council Building, 701 Barbour Drive, Raleigh. 
North Carolina 2^603. 

C ommenl Procedures: Address Comments 
to. Glenn B. Lassiter, Jr., Legal Assistant to 
the Director, Division of Facility Senices. 701 
Barbour Drive, Raleigh, SC 27603. 

CHAPTER 3 - FACILITY SERVICES 

SUBCHAPTER 3R - CERTIFICATE OF NEED 
REGULATIONS 

SECTION .0100 - GENERAL INFORMATION 

.0105 SCOPE AND PURPOSE (REPEALED) 

.0106 DEFINITIONS (REPEALED) 

.0108 QUARTERLY REPORT (REPEALED) 

Statutory Authority G.S. 131E-177; 131E-177 
I I); 131E-177 (2). 

SECTION .0200 - STATE AGENCY 
FUNCTIONS 

.0208 CAPITAL EXPENDITURE MINIMUM 

(REPEALED) 
.0209 ANNUAL OPERATING COST 

EXPENDITURE MINIMUM (REPEALED) 
.0210 ACQUISITION OF MAJOR MEDICAL 

EQUIPMENT (REPEALED) 
.021 1 ACQUISITION OF A HEALTH CARE 

FACILITY (REPEALED) 

Statutory Authority G.S. 131E-176 (16) (b): 
131E-176 (16) (f); 131E-176 (16) (j); 
131E-176 (16) (n); 13 IE- 177. 

SECTION .0300 - FUNCTIONS OF A HEALTH 
SYSTEMS AGENCY 

.0303 LETTER OF INTENT (REPEALED) 

Statutory Authority G.S. 131 'E-177. 

.0307 REVIEW CATEGORIES AND 
SCHEDULE 

(a) The agency will determine the appropri- 
ate review category or categories for all appli- 
cations submitted. For proposals which 
include more than one of the categories, the 
agency, if practical, will require the applicant 
to submit separate applications. If it is not 
practical to submit separate applications, the 



agency will determine in which category the 
application will be reviewed. 

(b) The review of an application for a certif- 
icate of need under G.S. 13 IF 181, "Required 
Approvals," G.S. 13 Hi- 182 will commence in 
the next review schedule after the application 
has been determined to be complete. The 
agency will determine if the proposed activity 
mav be eligible for a certificate of need under 
Qrir 131F^181. G.S. 131F-183. 

(c) Except fof those applications eligible fof 
review under Rule .0307 fb-^ all other Pro- 
posals requiring review will be reviewed ac- 
cording to the categories under &# schedule set 
forth in this Rule, 
as follows: 

(1 



The review categories are 



Category A includes proposals for acute 
health care facilities, including but not 
limited to the following types of pro- 
jects: renovation, construction, major 
medical equipment and other ancillary 
and support equipment and services, 
except those proposals included in Cat- 
egory C and Category D. 

(2) Category B includes proposals for 
skilled nursing beds and intermediate 
care beds which are reviewed against the 
State Medical Facilities Plan. 

(3) Category C includes proposals for the 
following types of projects: 

(A) psychiatric facilities; 

(B) psychiatric services in existing health 
care facilities; 

(C) intermediate care facilities for the 
mentally retarded; 

(D) intermediate care services for the 
mentally retarded in existing health care 
facilities; 

(E) substance abuse and chemical de- 
pendency facilities; and 

(F) substance abuse and chemical de- 
pendency senices in existing health care 
facilities. 

(4) Category D includes proposals for the 
following types of projects: 

(A) inpatient rehabilitation facilities; 

(B) inpatient rehabilitation senices in 
existing health care facilities; 

(C) comprehensive outpatient rehabili- 
tation facilities; 

(D) ambulatory surgical facilities; and 

(E) end stage renal disease treatment fa- 
cilities. 

(5) Category E includes proposals for the 
following types of projects: 

(A) life care facilities; 

(B) home health agencies; 



966 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



(C) nursing home proposals which do 
not include health care beds; and 

(D) any other proposal not included in 
Categories A through D. 

[ (\ I \ I C\T 111 VI 1 1 M r'l kO '11'!^ '■*•■'■' I h'Ui.'It i e tKfi .-i r/-. i-» 

\ u ) i—ttt mnxtn "~i T no Hi tru t"7 w*i tttJTt rr? rrft? rtrtrrr 

©f West e rn North (Carolina Health Systoms 

J I '• Ul flL t \\ . a f-. il 1 I fAl l,: ^; ' ' ■ t 1 1 I'l^m m . i«-i i-n .-i r- tVi llfMi'.-' 

I TSRR T ■ 1 1 1~ \\. V IV fi -t TVTTT L^'I 111 1 lt?l Iti? CtTT rTTTtWTTTTT 

(44 ftftr Catogory A bh- March ft ftfty 4- an4 
October 4- ef each year; 
ftftr- Cat e gory ft »» April ft August 4- 



& 

(44 
(44 



tt«4 November 4- »+" each year; 

44w Categoric!' ! G h» May ft I 

4- aft4 D e c e mb e r 4- ef each year; 

ftftr- Category ft »» February ft June 4- 

a«4 September 4- t-4 each year; an4 

ft»f Category ft »» June 4- i*«4 Decern 

V-. . i«- 1 i"\ T d • 1 ■ 'ft. 1 : . \- \ r- 

I'll T U 1 \J U l_ 1 1 f CCO . 

Beginning review dates for the review of Cer- 
tificate of Need applications in each category 
by geographical area will appear in the appli- 
cable State Medical Facilities Plan. 

(e) 4-ftf h e alth service afea 4ft which ft ft*e 
afea ef Piedmont H e alth Systems Agency, t4*e 
review; . w-41 commenc e as follows: 

(44 ftftr- Category A em May 4-r August 4- 

- * t t . 1 j \.jk. ; *t> ^ ft . i r- I i^^ i^ 1 1 I i i , t \ i i " ■ 
CTTTTX TmrtTTTTTT T D I LMII 1 T VTll , 

f24 ftef Category ft e« April ft 4*4y 4- af%4 

November 4- ef e ach year; 
(44 4-ft? Catogory G »«• March ft June 4- rt«4 

October 4- tft e ach year; 
(-44 4*eF Category © ©ft February ft June 4- 

r*«4 S e ptember 4- e£ each y e ar; a«4 
(44 ftftf Category ft e» March 4- a«4 Sop 

temb e r 4- »f each year. 

(ft ftftr- health service afea 44ft winch ft ft*e 

afea tft Southern Piedmont I Iealth Systems 

Agency, the reviews wftl comm e nc e as follows: 

(-ft ftftr- Category A e» April ft August 4- 

a«4 November 4- (ft each year; 
(-34 ftftp (Category ft ©» May ft September 

4- a»4 December 4- tft each year; 
(44 ftftf Category G e» February ft June 4- 

aft4 October 4- tft each year; 
(44 ftftf Cat e gory 14 t» March ft ftfty 4- a»4 

October 4- e4^ e ach year; »ft4 
(4} 44»f Category ft »«• June 4- a«4 Decern 

ft* . 1»~ 1 1~\ 1 . > ■ 'I ■■ - It 1 M'll 1 

I'VI T^ C7T CTTTTTT TvOTt 

(§4 ftftf health sen'ice fctfe+t ftV^ wliich ft tft» 
a«» e£ Capital Health Systems Agency, tft» 
reviews w444 commonco as follows: 

(44 44*f Category A e« February ft June 4- 

em4 October 4- tft e ach year; 
(4) ftftf (-at e gory ft »» March ft August 4- 

ch+4 December 4- ©f each y e ar; 
ftft ftftf Category G ©» April ft ftfty 4- e*«4 

Nov e mber 4- *4 each y e ar; 
(4f ftftp Category ' 44 ©«• May ft September 
4- aft4 Dec e mb e r 4- ef each year: »«4 



f4 i ftftf Category ft »» May 4- af>4 Novum 

ft. .-i*- 1 ni ^^^-ji, i n i'ir 

fur t rrr i-T_ii-'i i t i^'lltt 

(ft) ftftf health servic e wea fty which ft tfte 
afea ef tfte Cardinal Health Syst e ms Agency, 
ftn* reviews w-tU commenc e as follows: 

(44 ftftf Category A e» March ft ftfty 4- an4 
October 4- ejf each year; 
ftftf Category r ft »» February ft June 4- 
a«4 September 4- ef each y e ar; 
ftftf Category G »» May ft August 4- 
a«4 November 4- ef e ach year; 
ftftp Category 14 »» April ft August 4- 
a«4 December 4- ef each year; a«4 
ftftr- Category ft e» April 4- &»4 Ne- 
vombur 4- »f each year. 
J4»f h e alth s e rvic e area ftft which ft tbe 
m» ef Eastern Carolina 1 Iealth Systems 
Agency, ft» reviews w4J oomrnenco as follows: 
(44 J4e* Catogory A »» May ft September 
4- afi4 Deoomber 4- e£ each year; 
ftftf Catogory ft e» February ft Juno 4- 
a«4 October 4- e4^ each year; 
ftftp Category G »» March ft ftfty 4- ae4 
November 4- ef each year; 
ftftf Category 14 e» April ft August 4- 
a«4 November 4- ©f each year; aft4 
Pef Category^ ft e» April 4- a«4 October 

^L ^^i - 1 ■ i , \ \ \ , , ' , ■ i r 
~ rrr ctttttt t t hi . 

44*e ag e ncy may d e signat e specified Fe- 
sch e dul e s fo* geographic subdivisions 
within a category »f categories te- be applied 
during a calendar y e ar. Wh e n the agency 4es- 
ignates a review sch e dul e moro spocific than 
ft*e categories establish e d by ftfts Rule, t4+e 
i ipecified review schedule w444 be included ft> 
4h* applicable State Medical Facilities Plan. 

Statutory Authority G.S. 13IE-177. 



1 V otice is hereby given in accordance with G.S. 
1 SOB- 1 2 that the Division of Health Services 
intends to amend regulations cited as 10 NCAC 
10A .1935, .1943, .1955 - .1956, .1961, .1963. 

I he proposed effective date of this action is 
August 1, 1988. 

I he public hearing will be conducted at 1 :30 
p.m. on April 15, 1988 at Archdale Building, 
Hearing Room (G-170), 512 N. Salisbury 
Street, Raleigh, North Carolina. 



(34 
(44 
(ft 



(3) 

(44 
(44 
(S4 



c 



omment Procedures: Any person may re- 
quest information or copies of the proposed 



NORTH CAROLINA REGISTER 



967 



PROPOSED RULES 



rules by writing or calling John P. Barkley, 
Agency Legal Specialist. Dh'ision of Health 
Services, P.O. Box 2091. Raleigh. Sorth Caro- 
lina 27602-2091, (919) 733-3134. Written 
comments on these subjects may be sent to Mr. 
Barkley at the above address. Written and oral 
(for no more than ten minutes J comments on 
these subjects may be presented at the hearing. 
Xotice should be given to Mr. Barkley at least 
three days prior to the hearing if you desire to 
.speak. 

CHAPTER 10 - HEALTH SERVICES: 
ENVIRONMENTAL HEALTH 

SUBCHAPTER 10A - SANITATION 

SECTION .1900 - SEWAGE TREATMENT 
AND DISPOSAL SYSTEMS 

.1935 DEFINITIONS 

The following defirutons shall apply through- 
out this Section: 

( 16) "Parent material" means the mineral 
matter that is in its present position through 
deposition bv water, wind, gravity or bv de- 
composition of rock and exposed at_ the land 
surface or overlain bv soil or saprolite. 
h!M (2~i "Rock" means the consolidated or 
partially consolidated mineral matter or 
aggregate, including bedrock or weathered 
rock. t*f saprolite. not exhibiting seii the 
properties of soil and exposed at the land 
surface or overlain by soil or saprolite. 
I 29) "Saprolite" means thoroughly decom- 
posed earthy mineral matter, weathered m 
place from igneous or mctamorphic rock 
and usually overlain bv soil and exhibiting 
some properties of rock. 
(4^4 (35) "Soil" tof ?4*e purports ef subsur 
faee ' ji ' V i age tr e atm e nt aft4 disposal, means 
the naturally occurring, unconsolidated 
mineral and organic material of the land 
surface, developed from rock or other 
parent material and J4- consists of sand, 
silt, and clay -sized particles minerals and 
variable amounts of organic materials. 
Soil does not exhibit properties of rock 
or parent material. However, zones of 
transition in which soil characteristics 
predominate shall be considered soil. 

Statutory Authority G.S. 1 30.4-335: e /. 

.1943 SOIL DEPTH 

4-b* d e pth &f seik to- peek- v , hich aw clarified 
a* Suitable ef Provisionally Suitable a* to res- 
tore r«4 structure shall ee at least 4& inch e s 



when conventional ground absorption systems 
at conventional depths are to Ire utilized. 

(a) Soil depths to saprolite, rock, or parent 
material greater than 48 inches shall be con- 
sidered Suitable as to soil depth. Soil depths 
to saprolite, rock, or parent material lew? than 
4X inches and greater tha» between 36 inches 
and 48 inches shall be considered Provisionally 
Suitable as to soil depth. Soil depths to sa- 
prolite, rock, or parent material less than 36 
inches ef le** shall be classified Unsuitable as 
to depth. Where special design arei- installation 
modifications ea«- tre made to provide at- l e ast 
e*re feet ef naturally occurring wre. bolow tire 
bottom ef tke nitnfication trench, such soils 
Fftay ee reclassified Provisionally Suitable as to 
depth. 

(b) Where the site is UNSITTABI E with 
respect to depth, it mav be reclassified PRO- 



VISIONALLY SUITABLE after a special in- 
vestigation mdicates that a modified or 
alternative system can be installed in accord- 



1956 or Rule .1957 of this 



ance with Rul 
Section. 



Statutory Authority G.S. 130A-335(e). 

.1955 DESIGN CRITERIA FOR 

CONVENTIONAL SYSTEMS 

(m) Nitrification trenches shall be installed 



with at least one foot of naturally occurring 
soil between the trench bottom and saprolite, 
rock, or any soil horizon unsuitable as to tex- 
ture, structure, soil consistence or drainage. 



Statutory Authority G.S. 130A-335(eJ. 

.1956 POSSIBLE MODIFICATIONS TO 
CONVENTIONAL SEPTIC TANK 
SYSTEMS 

Possible modifications to conventional septic 
tank systems which may be utilized to over- 
come selected soil and site limitations and 
must be approved by the local health depart- 
ment include the following: 
(3) Modified nitrification trenches or lines, 
including large diameter pipe (greater than 
four inches I.D.). and specially designed 
porous block systems V typ e nitrification 
trenches, shall may be approved permitted 
on a site-specific basis by the local health 
department. 
(a) Gravelless nitrification trench systems 
mav be substituted for conventional 
trench systems on anv site tound to be 
suitable or provisionally suitable in ac- 
cordance with Rule .194H to .1948 to 
eliminate the need for gravel, minimize 



96S 



SORTH C ARC) LIS A REGISTER 



PROPOSED RULES 



sile disturbance, or tor other site plan- 
ning considerations. Gravelless nitrifi- 



cation trench systems shall not be used, 



however^ where wastes contain high 
amounts of grease and oil, such as res- 
taurants. 



(i) I arge diameter pipe systems shall 
consist o| eight-inch or ten-inch (inside 
diameter), corrugated, golyethvlene 
tubing encased in a nvlon. polyester, or 
nylon polyester blend filter wrap in- 
stalled in a nitrification trench, 12 or 
more inches wide and backfilled with 
soil classified as soil group f I_f or 111. 
Nitrification area requirement shall be 
determined in accordance with Rule 
J955Tb) and .1') 5 5(c), with eight -inch 
tubing considered equivalent to a two- 
foot-wide conventionaj trench and ten- 
inch tubing considered equivalent to a 
three-foot-wide conventional trench. 
The long-term acceptance rate shall not 
exceed U.8 gallons per day per square 
foot . Tubing and fittings shall comply 
with the requirements of ASTM P-667. 
AS I M f-667 has been adopted by ref- 
erence m accordance with G.S. 
150B- 14(c). Copies of the standards 
may be inspected in and copies ob- 
tained from the Sanitation Branch. Di- 
vision of 1 lealth Services, PC). Box 
2091. Raleigh) NC 27602-2091. The 
corrugated tubing shall have two rows 
of holes, each hole between j'8's and 
1 2-inch in diameter, located 120 de- 
grees apart along the bottom half ot the 
pipe (each 60 degrees fro in the bottom 
center line) and staggered so that one 
hole is present in the valley of each 
corrugation. The tubing shall be 
marked with a visible top location indi- 
cator, 120 degrees away from each row 
of holes. filter wrap shall be spun, 
bonded, or spunlaced nylon, polyester, 
or nvlon polyester blend nylon filter 
wrap meeting the following minimum 
requirements: 



I nit Weight: 



Sheet Grab Tensile: 



Trapezoid Tear: 
XD- 5.1 lbs- 
Mullen Burst: PS1 

KPa = 276 

brazier Air Perm. CI M ft 

O: 500" 



Oz/yd- = 1.0 
MP - 23 lbs. 
SD - 14 lbs. 
MC - 6.2 lbs 



40 
0.5 "Ho 



Corrugated tubing shall be covered with 
filter wrap at the ("acton and each joint 
shall be immediately encased m a black 
pol\ ethylene sleeve which shall con- 
tinue to encase the large diameter pipe 
and wrap until )ust prior to installation 
in the trench. 1 arge diameter pipe sys- 
tems shall be installed m accordance 
with this Rule and the manufacturer's 
guidelines. The trench bottom and 
pipe shall be level (with a maximum fall 
of one inch m 100 feet). I Titer wrap 
encasing the tubing shall not be ex- 
posed to sunlight (ultraviolet radiation) 
for extended periods. Rocks and large 
shall be removed from 



soil 



clumps 



backfill material prior to being used. 
Clayey soils (soil group IV) shall not 
be used for backfill. 1'he near end of 
the large diameter pipe shall have an 
eight -inch by four-inch or ten -inch by 
four-inch offset adaptor (small end 
opening at top) suitable for receiving 
the pipe from the septic tank or dis- 
tribution device and making a mechan- 
ical joint in the nitrification trench, 
(ii) Prefabricated, permeable block panel 
system shall consist of a network of 
16-inch-high, prefabricated, porous, 
eight-inch block panels containing hor- 
izontal and vertical air chambers, in- 
stalled approximately six inches apart in 
a nitrification trench ( IK to 24 inches 
wide) lined with approved sand fill and 
individual trenches spaced on a mini- 
mum cent ei -to-center spacing of nine 
feet. 

(A) Nitrification area requirement shall 
be determined in accordance with 
Rule .1955(b) and .1955(c), with each 
linear foot of panel trench considered 
equivalent to a three-foot-widc con- 
ventional trench. Where a low-pres- 
sure distribution system is utilized 
which is designed to uniformly dis- 
tribute effluent to each panel, in ac- 
cordance with Rule .1957(a). total 
trench length may be reduced by up_ 
to 40 percent, when the maximum 
design sewage flow is 480 gallons per 
day or less. 

(B) Block construction, sand till mate- 
rial, and system installation shall be 
in accordance with this Rule and the 
manufacturer's guidelines. 



(h) Other types of nitrification trenches or 
lines may be approved by the local 
health department on a site-specihe ba- 



NORTH CAROLINA REGISTER 



969 



SBSSBS 



■aittwdai 



PROPOSED RULES 



sis provided substantiating data in ac- 
cordance with Rule 1^48(c) are 
submitted which indicate that the pro- 
posed nitrification trench or line will 
perform equal to or better than a con- 
ventional trench or line. 



(4) Sites 



sified UNSUITABLE as to soil 



depth, with saprolitc present, may be re- 
classified PROVISIONALLY SLTT- 
AB1 I as to sojj depth when the 
provisions of this Paragraph are met, 
(a) An investigation of the site using pits 
or trenches at locations and to depths 
specified bv the local health department 
shall be conducted. The following 
physical properties and characteristics 
must be present: 

(1) the saprolitc shall be weathered from 
acidic (granite, gneiss, or schist) parent 
rock types of mctamorphic or igneous 
ongin; 
(ii) the saprolite texture shall be suitable 
and saprolite shall have less than 20 
percent clav: 
(in) clav mineralogy shall be suitable; 
(iv) the saprolite consistence shall be 
loose, friable to vcrv friable when moist 
as determined in place and nonstickv 
or nonplastic when wet ; 
(v) the saprolite shall be overlain bv at 
least one foot of SI II A B If or PRO- 
YINION \l 1 Y SI II Mil 1 naturally 



occurring sou 



and 



(vi) the saprolite shall have no joints or 
fractures relic of parent rock to a depth 
two feet below the proposed trench 
bottom, 
(h) 'fable III shall be used in determining 
the long-term acceptance rate for septic 
tank systems installed pursuant to Par- 
agraph (5). I he long-term acceptance 
rate shall be based on the most hv- 
draulicallv limiting, naturally occurring 
saprolite to a depth of two feet below 
trench bottom. 

TABLE III 



LONG-TERM 
ACCEPTANCE RATE 

gpdft 2 
p_6- 0_5 
0_5 - 04 
0_4- 03 

( ±ll ( ±l 
Saprolite textural classifications shall be deter- 
mined from disturbed materials and deter- 
mined bv Rule .m41(I). The local health 
department may require low-pressure distrib- 
ution in conventional nitrification trenches, or 
other modifications to provide adequate ef- 
fluent treatment and disposal. 

(c) Only ground absorption systems with a 
design daily flow of 480 gallons or less 
shall be installed on sites reclassified 
to this Paragraph |Rule 



pursuant 
.1950(4)1. 
(d) The nitrification field shall be con- 



structed using nitrification trenches with 
a maximum width of three feet and a 
maximum depth of two feet on the 
downslope side of the nitrification 
trench. The bottom of a nitrification 
trench shall be a minimum of two feet 
above rock. However, where SUIT- 



ABLE or PROVISIONALLY SI II- 
ABI.E soil underlies the trench bottom, 



[e] 

® 
[g] 



this separation distance may be reduced 
bv subtracting the actual soil depth be- 
neath the trench bottom from 24 inches 
to establish the minimum separation 
distance from the trench bottom to 
rock. 

The bottom of any nitrification trench 
shall be a minimum of two feet above 
any wetness condition. 
Surface and subsurface interceptor drains 
may be required. 

Exceptions to the provisions of Rule 
.1950(a) found in Rule .1950 and .1951 
shall not apply to systems installed 
pursuant to this Paragraph |Rule 
.1956(4)1. 



SAPROI ITE 
CiROl'P 



Sand 
II 

Loam 



SAPROI I IT 
TEXTl'RAL CLASSES 



Sands 


Sand 




Loanry 


Coarse I oams 


Sandv 


(with less Loam 
than 20 % clav) 



Statutory Authority G.S. 1 30.4-335 (e J. 

10 NCAC 10 A .1956 has been amended pursu- 
ant to a rule-making petition in Subparagraph 
1 3) (a) (i) as follows: 

.1956 POSSIBLE MODIFICATIONS TO 
CONVENTIONAL SEPTIC TANK 
SYSTEMS 

Possible modifications to conventional septic 
tank systems which mav be utilized to over- 



9~() 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



come selected soil and site limitations and 
must he approved by the local health depart- 
ment include the following: 
(3) Modified nitrification trenches or lines, 
including large diameter pipe (greater than 
four inches I.D.), and specially designed 
porous block systems, V-type nitrification 
trenches, shall be approved ««■ a bit e ape 
eifte buf i is by the local health department. 
(a) Gravelless nitrification trench systems 
may be substituted for conventional ni- 
trification trench systems on any site 
found to be suitable or provisionally 
suitable in accordance with Rules . 1 940 
to .1948 to eliminate the need for 
gravel, minimize site disturbance, or for 
other site planning considerations. 
(i) A Prefabricated Porous Block Panel 
System (PPBPS), utiliy.es both hori- 
zontal and vertical air chambers to 
promote better quality effluent. 
(A) The PPBPS shall consist of the 
following basic components: 
(1) A state approved two-com- 
partment septic tank with a sani- 
tary or other approved 
pretreatment system. 
(11) An effluent distribution device 

as stated in Rule . 1^55( 1). 
(Ill) A network of panels placed in 
a nitrification trench as described 
in Rule .1955(4). 



(B) The soil and site criteria for a panel 
system shall meet the following min- 
imum requirements: 
(1) Components of the panel sys- 
tem shall not be located in a de- 
pression or areas subject to 
frequent flooding. Surface water, 
perched ground water, and other 
subsurface lateral water movement 
shall be intercepted or diverted 
awav from all components of the 
panel system. 
(11) There shall be at least L2 inches 
of separation between the sea- 
sonally high water table and the 
trench bottom. 
(Ill) location of the septic tank, ef- 
fluent distribution devices, and pa- 
nel system nitrification field shall 
be subjected to the same horizontal 
setback specified in Rule .1950(a), 
except as approved by the local 
health department. 
(IV) A panel svstcm should not be 
installed on slopes in excess of 30 
percent. The panel svstcm may 



be installed on slopes greater than 
30 percent but may require special 
design to assure proper distribution 
of the effluent over nitrification 
field. 

(V) There shall be no soil disturb- 
ance to an approved site for a pa- 
nel system except the minimum 
required for installation. 

(C) Application rate - Table II of Rule 
.1955(b) shall be used in determining 
the application rate for the panel 
system. 

(D) In calculating the number of 
square feet for a panel system's nitri- 
fication field, design sewage flow shall 
be divided bv the application rate 
from Table H of Rule .1955(b), then 
multiplied by the panel system ratio 
(50 percent for the 16 inch PPBPS 
or 40 percent for the 24 inch PPBPS) 
as shown below: 



Conventional Systems With 

12 Inches of Stone 

600 sq. ft. 

or 

200 linear ft. 

16 Inch PPBPS 

100 linear ft. of 

16 inch high PPBPS 

(200 linear ft. 



x 0.50) 

12 Inch PPBPS 

80 linear ft of 

24 inch high PPBPS 

(200 linear ft 

x 0.40) 

Using eight feet on center separation of the 
trenches, except as approved bv the local 
health department. 

(F) Installation of the PPBPS shall 
consist of the following: 
(I) Fach nitrification line shall be 
installed on contour. The nitrifi- 
cation trenches shall be con- 
structed as level as possible, but in 
no case shall the fall in a single 
trench bottom exceed one-fourth 
inch m ten feet. The nitrificatin 
trench shall be a width of two feet. 
Farth dams should be used when 
the slope is to severe to allow for 
single level construction. Foot 
traffic on t]ie bare trench bottom 
should be avoided. 1 he depth of 



NORTH CAROLINA REGISTER 



971 



mmtt 



nam 



PROPOSED RULES 



the trendies should not exceed a 
depth of 36 inches lor the 24 inch 
panel or 30 inches for the 16 inch 
panel except as approved by the 
local health department. 
(II) On the bottom of each nitrifi- 
cation trench there shall be a min- 
imum of six inches of medium 
sand with a fmeness modulus of 



ponding of rain water. Surface- 
water shall be diverted away from 
the nitrification field. 



2.3 to 3J3 (ji screened or washed 
sand), except as approved bv the 
local health department. On top 
of the six inches of fill sand there 
shall be a one inch x six inch board 
laid flat on the six inch side. This 
board is to assure the proper level 
and placement of the panels. The 
panels, with one inch of particle 
sand (a fine grade of sand blasting 
sand ) placed in the upper-middle 



chamber, are then placed on the 
board at_ a minimum of six inch 
intervals. The panels should be 
connected together with two inch 
diameter schedule 40 or equivalent 
pipe. The same size and type pipe 
should connect the distribution 
devices and the first panel. This 
pipe should be placed where the 
effluent discharges i nto the upper- 
middle chamber between the air 
chambers on either side. This pipe 
shall be sealed at the outer cradle 
completely, while the inner cradle 
shall be sealed onlv to the top ra- 
dius of the pipe to allow air flow 
from the air chambers to the up- 
per-middle chamber. This seal 
shall be made with a tar or butyl 
seal rope product that is pliable 
and soft. Once this is completed, 
there shall be a cap block placed 
over the air chamber and inlet of 
the upper-middle chamber. After 
the placement of the cap block, 
which mav serve as an inspection 
port at a later date, the nitrification 
trench shall then be backfilled to 
the top of the panels with the sand 
till as previously specified. 
(Ill) The soil cover over the nitrifi- 
cation trench should be a mini- 
mum depth of six inches, except 
as approved bv the local health 
department. The finished grade 
over the nitrification field should 
be landscaped to prevent the 



(IV) Nitrification trenches placed in 
Group IV soils shall necessitate 
raking of the sidewalls of the trench 
to open the pores which were 
damaged and scaled during exca- 
vation. 



(F) The PPBPS mav also be utilized 
as a pressure dosed ground absorp- 
tion system with two to four feet of 
pressure head. 

Statutory Authority G.S. 130A-335(e). 

.1961 MAINTENANCE OF SEWAGE 
SYSTEMS AND SEPTAGE 
DISPOSAL 

(c) Ground absorption Sewage collection. 
treatment, and disposal systems which create 
a public health fklrr e nvironmental hazard, or 
nuisance by surfacing of effluent or discharge 
directly into the ground water or the surface 
waters shall be repaired within 30 days of no- 
tification by the state or local health depart- 
ment unless the notification otherwise specifies 
in writing. The state or local health depart- 
ment shall investigate a**y malfunctioning sys- 
tem af*4 use its tk«» best professional judgement 
practical technology consistent with 



public health practice in requiring repairs t» a 
malfunctioning ground absorption sewage 
treatment a»4 disposal system. which will 
reasonably enable the system to function 
properly. 



Statutory Authority 
130A-335(e). 



G.S. 130A-294; 



.1963 DISLSE OF SEWAGE SYSTEM 

Notwithstanding the foregoing provisions of 
Rule .1962 of this Section, if, for any reason, 
a sewage collection, treatment, and disposal 
system is nonrepayable in accordance with 
Rule . 1961(c) of this Section, fetis tfrie disre 
prrtf of has been disconnected, such system 
shall not be used again unless it- me e ts aU ef a 

vstem can be permitted under the provisions 
of Rule .1948(c). tkis Section &f unl e ss tke 
local health department determines such r e us e 
wili ft»t- ci eat e a public health hazard. 

Statutory Authority G.S. I30A-335(e). 
****************** 



9~ 2 



SORTH CAROLINA REGISTER 



PROPOSED RULES 



No 



otice is hereby given in accordance with G.S. 
1 SOB- 1 2 that the Commission for Mental 
Health, Mental Retardation and Substance 
Abuse Senices intends to adopt regulations 
cited as 10 NCAC 14K .0101 - .0103, .0201 - 
.0203, .0205 - .0212, .0214 - .0218, .0301 - 
.0364, .0401 - .0408; 10 NCAC 14L .0101 - 
.0106, .0201 - .0203, .0301 - .0310, .0401 - 
.0407, .0501 - .0508, .0601 - .06/3, .0701 - 
.0712; 10 NCAC 14M .0101 - .0/13. .020! - 
.0210, .030/ - .0304, .040/ - .04/0, .0501 - 
.0512, .0601 - .0616, .0701 - .0716; 10 NCAC 
14N .0101 - .0107, .0201 - .0207, .0301 - .0307, 
.0401 - .0406, .0501 - .0507, .0601 - .0607, 
.0701 - .0705, .0801 - .0811; 10 NCAC 140 
.0/0/ - .0109, .0201 - .0212, .0301 - .0314, 
.040/ - .04/6, .0501 - .0505, .0601 - .0619; 
amend regulations cited as 10 NCAC 181 
.0120; 10 NCAC 18J .0602, .0709, .07/2; 10 
NCAC 18L .0333 - .0334, .0337 - .0338, .0429, 
.0432, .0604, .0702 - .0703. .0705 - .0707, .0804 
- .0809, .0903 - .0904, .1002, .1004 - .1006, 
.1102 - .1107, .1203 - .1206, .1302 - .1305, 
.1402 - .1403, 10 NCAC ISM .0506. .0607 - 
.0608, .0701. .0704, .0801 - .0803; 10 NCAC 
18Q .0/23, .0/26, .0284, .0286 - .0287, .0320, 
.0520 - .0521, .0538 - .0541, .0802 - .0804, 
.0808, .0810, .0812; and repeal regulations cited 
as 10 NCAC ISJ .0408 - .0409; 10 NCAC 18L 
.1202; 10 NCAC 18M .0702, .0804 - .0816. 
.0819 - .0821. .1201 - .1202; 10 NCAC ISO 
.0104 - .0123, .0218 - .0227, .0311 - .0321, 
.0405 - .04/5, .0638 - .0651; 10 NCAC JSP 
.0131 - .0143, .0227 - .0244, .030/ - .03/3, 
.040/ - .0407, .0501 - .0508, .0601 - .0603, 
.0701 - .0707, .0801 - .0807, .0904; 10 NCAC 
18Q .0/24, .0285, .0321 - .0334, .0421 - .0433, 
.0522 - .0537, .0601 - .0611, .0701 - .0708, 
.0806; 10 NCAC I8R .0/0/ - .0/09. .0201 - 
.0214, .0301 - .0306, .0401 - .0405, .0501 - 
.0504, .060/ - .0605, .0701 - .0702, .0801 - 
.0803, .0901 - .0902. .1001 - .1004, .1101 - 
.1106, .1201 - .1209. .1301 - .1302, .1401 - 
.1402; 10 NCAC 45H .0119 - .0/33. 

1 V otice is hereby given in accordance with G.S. 
1 SOB- 12 that the Department of Human Re- 
sources, Secretary of DHR intends to adopt 
regulations cited as 10 NCAC 14K .0204, .02/3. 



Cc 



Th 



he proposed effective date of this action is 
October I, 1988. 

1 he public hearing will be conducted at 10:00 
a.m. on April 19, 1988 at Holiday Inn State 
Capital, 320 Hillsborough Street, Raleigh, N.C. 

27603. 



omment Procedures: Any interested person 
may present his/her comments either by oral 
presentation at the hearing for a maximum of 
ten minutes or by submitting a written state- 
ment. Persons wishing to make oral presenta- 
tions should contact: Jan Warren, A. P. A. 
Coordinator, Division of Mental Health, Mental 
Retardation and Substance Abuse Services, 325 
N. Salisbury Street, Raleigh, N.C. 27611, (919) 
733-7971 by April 15, 1988. The hearing re- 
cord will remain open for written comments 
from March 15, 1988 through April 19, 1988. 
Written comments must be sent to the A. P. A. 
Coordinator at the address specified above and 
must state the proposed rule/rules to which the 
comments are addressed. Fiscal information 
on these rules is also available from the address 
specified above. 

CHAPTER 14 - MENTAL HEALTH: GENERAL 

SLBCHAPTER 14K - CORE L1CENSLRE 
RLLES FOR MENTAL HEALTH: MENTAL 

RETARDATION AND OTHER 

DEVELOPMENTAL DISABILITIES: AND 

SUBSTANCE ABUSE FACILITIES 

SECTION .0100 - GENERAL INFORMATION 

.0101 PURPOSE: SCOPE AND 

APPLICABILITY OF RULES 

(a) Subchapters 14K through 140 of this 
Chapter set forth licensure rules for mental 
health, mental retardation and other develop- 
mental disabilities and substance abuse facili- 
ties. Under the provisions of G.S. 122C-23 
and G.S. 122C-24, a facility shall comply with 
these Rules. Failure to comply with these 
Rules shall be grounds for the department to 
deny or revoke a license. 

(b) The Rules are codified in this Chapter 
as follows: 

(1) Subchapter 14K - core rules applicable 
to all types of facilities licensed under 
the provisions of G.S. 122C, Article 2; 

(2) Subchapter 14L - rules applicable to 
mental health facilities; 

(3) Subchapter 14M - rules applicable to 
mental retardation and other develop- 
mental disabilities facilities; 

(4) Subchapter 14N - rules applicable to 
substance abuse facilities; and 

(5) Subchapter 140 - rules applicable to 
facilities serving more than one disabil- 
ity. 

(c) When a facility contracts with a person 
for the provision of services, or portions of a 
service, the facility shall ensure that the con- 



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PROPOSED RULES 



tract scnices are provided in accordance with 
the applicable rules in this Subchapter and 
with 10 NCAC 14L. 14M, 14N, or 140 de- 
pending upon the type of client population 
served. 

(d) In cases where no specific licensure rules 
exist for certain types of licensable mental 
health, mental retardation and other develop- 
mental disabilities or substance abuse facilities, 
the core rules contained in this Subchapter 
shall apply. 

Statutory Authority G.S. 122C-23; I22C-24; 
I22C-26; 143B-/47. 

.0102 COPIES OF LICENSURE RILES 

(a) The Division of Mental Health, Mental 
Retardation and Substance Abuse Services 
(DM11 MR/SAS) shall distribute a limited 
number of free copies of licensure rules con- 
tained in Subchapters 14K through 140 of this 
Chapter to area programs for area-operated 
facilities and for contract agency facilities. 
(Additional copies may be purchased from 
DMH/MR SAS at a price to cover printing 
and postage.) 

(b) bach area program shall distribute to 
each of its area-operated and contract agency 
facilities a copy of these licensure Rules. 

(c) The Division of Facility Services (DFS) 
shall distribute a limited number of free copies 
of the licensure Rules to private facilities. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0103 DEFINITIONS 

(a) This Rule contains the definitions that 
apply to all the rules in this Subchapter and 
Subchapters 14L through 140 of this Chapter. 

(b) In addition to the definitions contained 
in this Rule, the terms defmed in G.S. 122C-3 
also apply to all the rules in this Subchapter 
and Subchapters 14L through 14C) of this 
Chapter. 

(c) The following terms shall have the me- 
anings specified: 

( 1 ) "Administering medication" means di- 
rect application of a drug to the body 
of a client by injection, inhalation, ing- 
estion, or any other means. 

(2) "Adolescent" means a minor between 
13 and 17 years of age. 

(3) "Adult" means a person 18 years of age 
or older or a person under 18 years of 
age who has been married or who has 
been emancipated by a court of com- 
petent jurisdiction or is a member of the 
armed forces. 



(4) "Aftercare" means those services pro- 
vided to substance abuse clients after 
discharge from a service which facili- 
tates the client's 
integration 'reintegration into society. 
Activities may include self-help groups, 
supportive work programs and staff 
follow-up contacts and interventions. 

(5) "Alcohol abuse" means psychoactive 
substance abuse which is a residual cat- 
egory for noting maladaptive patterns 
of psychoactive substance use that have 
never met the criteria for dependence 
for that particular class of substance 
(criteria delineated in DSM-III-R pub- 
lished by the American Psvchiatric As- 
sociation, 1400 K Street, N.W., 
Washington, D.C. 20005 at a cost of 
twenty-nine dollars and ninety-five 
cents ($29.95) for the soft cover edition 
and thirty-nine dollars and ninety-five 
cents ($39.95) for the hard cover edi- 
tion.) 

(6) ".Alcohol dependence" means psy- 
choactive substance dependence which 
is a cluster of cognitive behavioral, and 
physiologic symptoms that indicate that 
a person has impaired control of psy- 
choactive substance use and continues 
use of the substance despite adverse 
consequences (criteria delineated in 
DSM-III-R published by the American 
Psychiatric Association, 1400 K Street, 
N.W., Washington, D.C. 20005 at a 
cost of twenty-nine dollars and ninety- 
five cents ($29.95) for the soft cover 
edition and thirty-nine dollars and ni- 
nety-five cents ($39.95) for the hard 
cover edition.) 

(7) "Applicant" means any person who 
intends to establish, maintain or operate 
a licensable facility and who applies to 
the department for a license to operate 
a facility under the provisions of G.S. 
122C, Article 2. 

(8) "Area program" means a legally con- 
stituted public agency providing mental 
health, mental retardation and sub- 
stance abuse services for a catchment 
area designated by the commission. 

(9) "Assessment" means a procedure for 
determining the nature and extent of the 
problem for which the individual is 
seeking service. 

(10) "Certified counselor" means an alco- 
holism, drug abuse or substance abuse 
counselor who is certified bv the North 



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Carolina Substance Abuse Professional 
Certification Board. 

(11) "Child" means a minor between birth 
and 12 years of age. 

(12) "Chronically mentally ill adult" means 
an individual 18 years of age or older 
who, as a result of a mental disorder, 
exhibits emotional or behavioral func- 
tioning which is so impaired as to in- 
terfere substantially with his/her 
capacity to remain in the community 
without supportive treatment or ser- 
vices of a long-term or indefinite dura- 
tion. In these persons, mental disability 
is severe and persistent, resulting in 
long-term limitation of their functional 
capacities for primary activities of daily 
living such as interpersonal relations, 
homemaking, self-care, employment 
and recreation. 

(13) "Client record" means a written ac- 
count of all services provided a client 
from the time of formal acceptance of 
the client by the facility until termi- 
nation of services. This information is 
documented on standard forms adopted 
by the facility which are tiled in a stan- 
dard order. 

( 14) "Clinical" means having to do with the 
direct treatment habilitation of a client. 

(15) "Clinical staff member" means a pro- 
fessional who provides active 
treatment habilitation to a client. 

(16) "Clinical/professional supervision" 
means regularly scheduled assistance by 
a qualified mental health professional, 
a qualified substance abuse professional 
or a qualified developmental disabilities 
professional to a staff member who is 
providing direct, therapeutic inter- 
vention to a client or clients. The pur- 
pose of clinical supervision is to ensure 
that each client receives appropriate 
treatment and'or habilitation which is 
consistent with accepted standards of 
practice and the needs of the client. 

(17) "Contested case" means an adminis- 
trative proceeding under G.S. 150B, 
Article 3, in which the rights, privileges, 
or duties of a party(s) are required by 
law to be determined. 

(18) "Declaratory ruling" means a formal 
and binding interpretation as to: 

(A) the validity of a rule; or 

(B) the applicability to a given state of 
facts of a statute administered by the 
Department of Human Resources, or a 



rule or order of the Department of Hu- 
man Resources. 

(19) "Detoxification" means the physical 
withdrawal of an individual from alco- 
hol or other drugs in order that the in- 
dividual can participate in rehabilitation 
activities. 

(20) "Developmentally delayed children" 
means those whose development is de- 
layed in one or more of the following 
areas: cognitive development, physical 
development, language/speech, and 
self-help. The specific level of delay 
must be: 

(A) For children from birth to 36 months 
of age documented by scores 1 'A stan- 
dard deviations below the mean on 
standardized tests in at least one of the 
above areas of development or by a 20 
percent delay on assessment instru- 
ments that yield scores in months; and 

(B) For children from 36 to 60 months 
of age documented by test performance 
two standardized deviations below the 
mean on standardized tests in one area 
of development or by performance that 
is one standard deviation below the 
norm in two areas of development. Or, 
it may be documented by a 25 percent 
delay in two areas on assessment in- 
struments that yield scores in months. 

(21) "DFS" means the Division of Facility 
Services, 701 Barbour Drive, Raleigh, 
N.C. 27603. 

(22) "Direct care staff means an individual 
who provides care, treatment or 
rehabilitation/habilitation services to 
clients on a continuous and regularly 
scheduled basis. 

(23) "Dispensing medication" means pre- 
paring and packaging a prescription 
drug or device in a container and label- 
ing the container with information re- 
quired by state and federal law. Filling 
or refilling drug containers with pre- 
scription drugs for subsequent use by a 
client is "dispensing". Providing quan- 
tities of unit dose prescription drugs for 
subsequent administration is "dispens- 
mg". 

(24) "DMH/MR/SAS" means the Division 
of Mental Health, Mental Retardation 
and Substance Abuse Sendees, 325 N. 
Salisbury Street, Raleigh, N.C. 27611. 

(25) "Documentation" means provision of 
written, dated and authenticated evi- 
dence of the delivery of client services 
or compliance with statutes or rules, 



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PROPOSED RULES 



e.g., entries in the client record, policies 
and procedures, minutes of meetings, 
memoranda, reports, schedules, notices 
and announcements. 

(26) "Drug abuse" means psychoactive 
substance abuse which is a residual cat- 
egory for noting maladaptive patterns 
of psychoactive substance use that have 
never met the criteria for dependence 
for that particular class of substance 
(criteria delineated in DSM-III-R pub- 
lished by the American Psychiatric As- 
sociation, 1400 K Street, N.W., 
Washington, D.C. 20005 at a cost of 
twenty-nine dollars and ninety-five 
cents ($29.95) for the soft cover edition 
and thirty-nine dollars and ninety-five 
cents ($39.95) for the hard cover edi- 
tion.) 

(27) "Drug dependence" means psychoac- 
tive substance dependence which is a 
cluster of cognitive behavioral, and 
physiologic symptoms that indicate that 
a person has impaired control of psy- 
choactive substance use and continues 
use of the substance despite adverse 
consequences (criteria delineated in 
DSM-III-R published by the American 
Psychiatric Association, 1400 K Street, 
N.W., Washington, D.C. 20005 at a 
cost of twenty-nine dollars and ninety- 
five cents ($29.95) for the soft cover 
edition and thirty-nine dollars and ni- 
nety-five cents ($39.95) for the hard 
cover edition.) 

(28) "DWI" means driving while impaired, 
as defined m G.S. 20-138. 1. 

(29) "DWI substance abuse assessment" 
means a service provided to persons 
charged with or convicted of DWI to 
determine the presence of chemical de- 
pendency. The "assessment" involves 
a face-to-face interview with a sub- 
stance abuse professional. 

(30) "Evaluation" means an assessment 
service which identifies the nature and 
extent of an individual's problem 
through a systematic appraisal of men- 
tal, physical, behavioral, functional so- 
cial, economic and/or intellectual 
resources of the individual, for the pur- 
poses of diagnosis and determination 
of the disability of the individual and 
the most appropriate plan, if any, for 
services. 

(31 ) "First aid" means emergency treatment 
for injur)' or sudden illness before regu- 
lar medical care is available. First aid 



includes artificial respiration, the Heim- 
lich maneuver, or other Red Cross first 
aid techniques for relieving airway ob- 
struction, care of wounds and burns, 
and temporary administering of splints. 

(32) "Governing body" means those per- 
sons who by law, charter, articles of in- 
corporation, partnership agreement, or 
other legally recognized manner have 
full legal authority for the overall oper- 
ation of the facility. 

(33) "Hearing" means a contested case 
hearing under G.S. 150B, Article 3. 

(34) "Hearing officer" means a hearing of- 
ficer appointed by the secretary or an 
Office of Administrative Hearings hear- 
ing officer. 

(35) "High risk children" means those from 
birth to 36 months of age who: 

(A) have a diagnosed physical or mental 
condition which has a high probability 
of resulting in developmental delay or 
atypical development; 

(B) have significantly atypical patterns 
of development (perceptual, sensory, 
physical, behavioral, motor anomalies) 
that have a high probability of resulting 
in developmental delay or atypical de- 
velopment; or 

(C) have responded well to intervention 
efforts but for whom there is evidenced 
that their continued developmental 
progress cannot be assured without 
continued intervention. 

(36) "Hours of operation" means an indi- 
cation of the minimum operational 
hours that a service is expected to be 
available to clients, but not prohibiting 
the typical closing of a service to ac- 
commodate holidays, vacations, staff 
development activities and weather and 
facility-related conditions but taking 
into consideration the type of service 
beine provided. 

(37) "ICF/MR" (Intermediate Care 
Facility, Mentally Retarded) means a 
facility certified as having met federal 
ICF/MR requirements and which pro- 
vides 24-hour personal care, habili- 
tation, developmental and supportive 
services to persons with mental retar- 
dation or related conditions. 

(38) "Incident" means any happening 
which is not consistent with the routine 
operation of the facility or the routine 
care of a client and that is likely to lead 
to adverse effects upon a client. 



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(39) "Individual goal plan" (for clients with 
mental retardation or other develop- 
mental disabilities) means a written 
plan which includes measurable, date- 
specific, short-range objectives which 
are assessed and developed or restated 
based on the strengths and needs of the 
client and which identifies specific staff 
responsibilities and relates to the annual 
individual program plan. 

(40) "Individual program plan" (for clients 
with mental retardation or other devel- 
opmental disabilities') which is some- 
times referred to as an "habilitation 
plan," means a written plan which in- 
cludes long-range objectives for the cli- 
ent based on evaluations, observations 
and other client assessment data and 
which is implemented following admis- 
sion of the client, and assessed and re- 
developed at least annually from the 
date of placement The individual pro- 
gram plan includes a written summary' 
of the client's progress regarding previ- 
ous program plans. 

(41) "Individual treatment plan" (for men- 
tal health substance abuse clients) me- 
ans a plan of treatment for the client. 
The plan contains time-specific short 
and long term goals and strategies for 
implementing the goals, and identifies 
direct care staff responsible for the pro- 
vision of treatment and rehabilitation 
services to the client. The individual 
treatment plan is synonymous with the 
individual service plan. 

(42) "Infant" means an individual between 
birth and two years of age. 

(43) "Isolation time-out" means the re- 
moval of a client from positive re- 
inforcement to a separate room from 
which exit is barred but which is not 
locked and where there is continuous 
supervision by staff. 

(44) "Legend drug" means a drug that can- 
not be dispensed without a prescription. 

(45) "License" means a permit to operate 
a facility which is issued by DPS under 
G.S. 122C, Article 2. A regular license 
may be issued for a period not to exceed 
two years from the date of issue to a 
facility which is in compliance with all 
applicable statutes and rules. A provi- 
sional license may be issued not to ex- 
ceed six months to a person who is 
temporarily unable to comply with a 
rule or rules. 



(46) "Medication" means a substance re- 
cognized in the official "United States 
Pharmacopoeia" or "National Formu- 
lary" intended for use in the diagnosis, 
mitigation, treatment or prevention of 
disease. 

(47) "Minor client" means a person under 
1 8 years of age who has not been mar- 
ried or who has not been emancipated 
by a decree issued by a court of com- 
petent jurisdiction or is not a member 
of the armed forces. 

(48) "Neighborhood" - See "residential 
setting". 

(49) "Nurse" means a person licensed to 
practice in the State of North Carolina 
either as a registered nurse or as a li- 
censed practical nurse. 

(50) "Operator" means the designated agent 
of the governing body who is responsi- 
ble for the management of a licensable 
facility. 

(51) "Parent" means the biological or 
adoptive mother or father of a minor 
client. 

(52) "Physical examination" means the 
procedures used by a physician or phy- 
sician extender on behalf of a physician 
to determine the physiological and ana- 
tomical condition of the client. Phys- 
ical examination also means medical 
examination. 

(53) "Physician extender" means a nurse 
practitioner or a physician assistant ap- 
proved to perform medical acts by the 
Board of Medical Examiners of the 
State of North Carolina. 

(54) "Private facility" means a facility not 
operated by or under contract with an 
area program. 

(55) "Program evaluation" means the sys- 
tematic documented assessment of pro- 
gram activity to determine the 
effectiveness, efficiency and scope of the 
system under investigation, to define its 
strengths and weaknesses and thereby 
to provide a basis for informed deci- 
sion-making. 

(56) "Provider" means an individual, 
agency or organization that provides 
mental health, mental retardation or 
substance abuse services. 

(57) "Psychiatric nurse" means an individ- 
ual who is licensed to practice as a reg- 
istered nurse in the State of North 
Carolina and by the North Carolina 
Board of Nursing and who is a graduate 
of an accredited master's level program 



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in psychiatric mental health nursing 
with two years of experience, or has a 
master's degree in behavioral science 
with two years of supervised clinical 
experience, or has four years of experi- 
ence in psychiatric mental health nurs- 
ing. 

(58) "Psychiatric social worker" means an 
individual who holds a master's degree 
in social work from an accredited 
school of social work and has two years 
of clinical social work experience. 

(59) "Psychiatrist" means an individual 
who is licensed to practice medicine in 
the State of North Carolina and who 
has completed an accredited training 
program in psychiatry. 

(60) "Psychotherapy" means a form of 
treatment of mental illness or emotional 
disorders which is based primarily upon 
verbal or non-verbal communication 
with the patient. Treatment is provided 
by a trained professional for the pur- 
pose of removing or modifying existing 
symptoms, of attenuating or reversing 
disturbed patterns of behavior, and of 
promoting positive personality growth 
and development. 

(61) "Psychotropic medication" means 
medication with the primary function 
of treating mental illness, personality or 
behavior disorders. These medications 
include, but are not limited to, antipsy- 
chotics, antidepressants, neuroleptics, 
lithium and minor tranquilizers. 

(62) "Qualified alcoholism professional" 
means an individual who is certified by 
the North Carolina Substance Abuse 
Professional Certification Board or who 
is a graduate of a college or university 
with a baccalaureate or advanced degree 
in a human service related field with 
documentation of at least two years of 
supervised experience in the profession 
of alcoholism counseling. 

(63) "Qualified developmental disabilities 
professional" means an individual 
holding at least a baccalaureate degree 
in a discipline related to developmental 
disabilities, and at least two years of 
supervised habilitative experience in 
working with the mentally retarded or 
otherwise developmental!}' disabled or 
holding a baccalaureate degree in a field 
other than one related to developmental 
disabilities and having three years of 
supervised experience in working with 



the mentally retarded or otherwise de- 
vclopmentally disabled. 

(64) "Qualified drug abuse professional" 
means an individual who is certified by 
the North Carolina Substance Abuse 
Professional Certification Board or who 
is a graduate of a college or university 
with a baccalaureate or advanced degree 
in a human service related field with 
documentation of at least two years of 
supervised experience in the profession 
of drug abuse counseling. 

(65) "Qualified mental health professional" 
means any one of the following: psy- 
chiatrist, psychiatric nurse, practicing 
psychologist, psychiatric social worker, 
an individual with at least a master's 
degree in a related human service field 
and two years of supervised clinical ex- 
perience in mental health services or an 
individual with a baccalaureate degree 
in a related human service field and four 
years of supervised clinical expenence 
in mental health services. 

(66) "Qualified nutritionist" means an in- 
dividual who has a Master's degree in 
nutrition, nutrition education or public 
health nutrition and who may or may 
not be a registered dietitian. 

(67) "Qualified substance abuse profes- 
sional" means an individual who is: 

(A) certified by the North Carolina Sub- 
stance Abuse Professional Certification 
Board; or 

(B) a graduate of a college or university 
with a baccalaureate or advanced degree 
in a human service related field with 
documentation of at least two years of 
supervised experience in the profession 
of alcoholism and drug abuse coun- 
seling and at least 80 percent of whose 
time is in the profession of alcoholism 
and drug abuse counseling. 

(68) "Registered dietitian" means an indi- 
vidual who has successfully completed 
a national examination for the Com- 
mission on Dietetic Registration and 
maintains registration with that com- 
mission through approved continuing 
education activities events. 

(69) "Rehabilitation" means training, care 
and specialized therapies undertaken to 
assist a client to reacquire or maximize 
lost skills and or functional abilities. 

(70) "Research" means inquiry involving a 
trial or special observation made under 
conditions determined by the investi- 
gator to confirm or disprove an hy- 



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pothcsis, or to explicate some principle 
or effect. The term "research" as used 
in this document means research which 
is not standard or conventional; in- 
volves a trial or special observation 
which would place the subject at risk 
for injury (physical, psychological or 
social injury), or increase the chance of 
disclosure of treatment; utilizes ele- 
ments or steps not ordinarily employed 
by qualified professionals treating simi- 
lar disorders of this population; or is a 
type of procedure that serves the pur- 
pose of the research only and does not 
include treatment designed primarily to 
benefit the individual. 

(71) "Residential setting" means a living 
area or zone in which the primary pur- 
pose is family residential living and 
which may be located in an area zoned 
either urban residential or rural. 

(72) "Respite discharge" means that point 
in time when no additional incidents of 
respite service are anticipated and the 
client record is closed. 

(73) "Respite episode" means an uninter- 
rupted period of time during which a 
client receives respite services. The ep- 
isode may vary in length from one hour 
or less to one month. 

(74) "Restraint" means the limitation of a 
client's freedom of movement by: 

(A) physical hold for the purpose of 
subduing the client; 

(B) "mechanical restraint" which is the 
use of mechanical devices for the pur- 
pose of controlling behavior including, 
but not limited to, cuffs, ankle straps, 
sheets, or restraining shirts; or 

(C) "protective restraint" which is the use 
of protective devices to provide support 
and safety for weak and feeble clients, 
or to prevent medically ill clients from 
removing intravenous tubes, indwelling 
catheters, cardiac monitor electrodes, 
etc. Such devices may include posey 
vests, geri-chairs, table top chairs or soft 
ties. 

(75) "Restrictive facility" means a facility 
which employs the use of mechanical 
restraint or seclusion in order to restrict 
a client's freedom of movement. A ju- 
dicial determination as specified in G.S. 
122C-223 and G.S. 122C-232 is re- 
quired for minor clients and incompe- 
tent adult clients who are admitted to a 
restrictive facility. 



(76) "Screening" means an assessment ser- 
vice which provides for a brief face-to- 
face appraisal of each individual who 
presents himself/herself for services, in 
order to determine the nature of the in- 
dividual's problem and his/her need for 
services. Screening may also include 
referral to other appropriate community 
resources. 

(77) "Seclusion" means isolating a client in 
a separate locked room for the purpose 
of controlling a client's behavior. 

(78) "Secretary'" means the Secretary of the 
Department of Human Resources or 
designee. 

(79) "Severely physically disabled person" 
means for the purpose of ADAP (Adult 
Developmental Activity Program) a 
person: 

(A) who has a severe physical disability 
which seriously limits his functional ca- 
pabilities (mobility, communication, 
self-care, self-direction, work tolerance 
or work skills); 

(B) who has one or more physical disa- 
bilities resulting from amputation, ar- 
thritis, blindness, cancer, cerebral palsy, 
cystic fibrosis, deafness, heart disease, 
hemiplegia, hemophilia, respiratory' or 
pulmonary dysfunction, multiple scler- 
osis, muscular distrophy, musculosk- 
eletal disorders, neurological disorders 
(including stroke and epilepsy), para- 
plegia, quadriplegia, and other spinal 
cord conditions, sickle cell anemia and 
end stage renal disease; and 

(C) whose habilitation or rehabilitation 
can be expected to require multiple ha- 
bilitation or rehabilitation services over 
an extended period of time. 

(80) "Sheltered employment" means a fa- 
cility's provision of work and work 
training by: 

(A) subcontracting from industries in the 
community and bringing work to the 
facility to be performed; or 

(B) manufacturing its own products in 
the facility. Clients served in a sheltered 
employment model are those who con- 
sistently achieve earning levels exceed- 
ing one-half of the minimum wage but 
who are not ready for independent em- 
ployment activities. 

(81) "Staff member" means any individual 
who is employed by the facility. 

(82) "Substantially mentally retarded per- 
son" means for the purpose of ADAP 
a person who is mentally retarded to the 



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PROPOSED RULES 



degree of seriously limiting his func- 
tional capabilities, whose habilitation 
or rehabilitation can be expected to ex- 
tend over a period of time, and includ- 
ing: 

(A) moderately mentally retarded per- 
sons; 

(B) severely mentally retarded persons; 

(C) profoundly mentally retarded per- 
sons; or 

(D) mentally retarded persons with a 
handicapping condition so severe as to 
lack the potential for employment at 
this time, either in a sheltered or com- 
petitive setting. In addition, such indi- 
viduals must have a deficit in self-help, 
communication, socialization or occu- 
pational skills and be recommended by 
the vocational rehabilitation counselor 
for consideration of placement in an 
ADAP. 

(83) "Support services" means services 
provided to enhance an individual's 
progress in his primary 
treatment habilitation program. 

(84) "Supported employment" means a 
day night service which involves paid 
work in a job which would otherwise 
be done by a non-disabled worker. 
Supported employment is carried out in 
an integrated work site where a small 
number of people with disabilities work 
together and where the work site is not 
immediately adjacent to another pro- 
gram serving persons with disabilities. 
It includes intensive involvement of 
staff working with the uidividuals in 
these integrated settings. 

(85) "Treatment" means the process of 
providing for the physical, emotional, 
psychological and social needs of clients 
through services. 

(86) "Twenty-four hour facility m which 
medical care is an integral component" 
means a facility in which: 

(A) the medication needs of clients may 
be evaluated, medication prescribed and 
laboratory tests ordered to assist in the 
diagnosis, treatment and/or monitoring 
of problems associated with the mental 
health, mental retardation or other de- 
velopmental disabilities or substance 
abuse disorder(s) of clients; and 

(B) proper referral of the client is made 
to medical specialists when needed. 

Statutory Authority (7.5. 122C-3: I22C-26; 
143B-147. 



SECTION .0200 - LICENSURE 

.0201 LICENSE REQUIRED 

No person shall establish, maintain or operate 
a licensable facility for the mentally ill, men- 
tally retarded or otherwise developmentally 
disabled or substance abusers without first ob- 
taining a license from the Division of Facility 
Services, 701 Barbour Drive, Raleieh, N.C. 
27603. 

Statutory Authority G.S. I22C-3(28); 
122C-23(a); 122C-26; 143B-147. 

.0202 EXCLLSIONS FROM LICENSURE 

Those facilities and persons delineated in G.S. 
122C-22(a) shall not be subject to licensure 
under the provisions of G.S. 122C, Article 2. 



Statutory Authority 
122C-26; 143B-I47. 



G.S. l22C-22(a); 



.0203 APPLICATION FOR LICENSE 

(a) Any person as defined in G.S. 122C-3(28) 
intending to establish, maintain or operate a 
licensable facility for the mentally ill, mentally 
retarded or otherwise developmentally disabled 
or substance abusers shall apply to DFS for a 
license. 

(b) The person shall submit a completed li- 
censure application to the Licensure Section 
of DFS at least 30 days prior to the planned 
date of operation of the facility. In emergency 
situations involving therapeutic homes oper- 
ated by either area programs or their contract 
agencies, application and processing time may 
be accelerated to seven days or less. 

(c) The person shall be in compliance with 
all applicable Certificate of Need and local 
zoning requirements. 

(d) In addition, the person shall notify DFS 
of any change in ownership, construction or 
other alteration to the physical plant, (such as 
relocation of walls, doors or change in fin- 
ishes), or addition or change of services, and 
submit a new application upon request. 

Statutory Authority G.S. 122C-3(28); 
122C-23; 122C-26; I43B-147. 

.0204 CONTENT OF LICENSE APPLICATION 
FORMS 

The content of license application forms shall 
include the following: 

(1) name of the person as defined in G.S. 
122C-3(28) submitting the application; 

(2) business name used by the facility, if ap- 
plicable; 



980 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



(3) street location of the facility (include 
multiple addresses if more than one 
building at one site); 

(4) name and title of the operator of the fa- 
cility; 

(5) type of facility; services offered; ages 
served; and, when applicable, capacity and 
a floor plan showing bed locations and 
room numbers, any unlocked time-out 
rooms, and any locked interior or exterior 
doors which would prohibit free egress of 
clients; and 

(6) indication of whether the facility is oper- 
ated b> an area program, under contract 
with an area program or is a private facil- 
ity. 

Statutory Authority G.S. 122C-3(28); 
122C-23(c); 122C-27. 

.0205 TYPES OF LICENSE 

Each facility shall have either a provisional 
or a regular license. 

Statutory Authority G.S. 122C-23; I22C-26; 
1 43 B- 1 47. 

.0206 PROVISIONAL LICENSE 

(a) A provisional license may be granted 
when a facility is found to be temporarily un- 
able to comply with a rule or rules and there 
is no immediate threat to the health, safety or 
welfare of the individuals served. 

(b) Provisional licensure shall not exceed six 
months. 

(c) During the provisional licensure period, 
the person shall submit a statement for review 
and approval by DPS describing the corrective 
action(s) taken. 

(d) When all out-of-compliance issues are 
fully resolved and documented, a regular li- 
cense shall be issued. 

(e) A facility shall not receive two consec- 
utive provisional licenses. 



Statutory Authority 
I22C-26; I43B-I47. ' 



G.S. 122C-23(e); 



.0207 REGULAR LICENSE 

(a) A regular license shall be issued only 
when a facility is in compliance with all appli- 
cable rules and statutes. 

(b) A regular license shall be valid for a pe- 
riod not to exceed two years from the date on 
which the license is issued. 



Statutory Authority 
I43B-147. 



G.S. 122C-23; I22C-26; 



.0208 ISSUANCE OF LICENSE 

(a) In accordance with the provisions of 
Rules .0206 and .0207 of this Section, DFS 
shall issue a license after completion of the 
following: 

(1) DFS determines that the applicant is in 
compliance with all Certificate of Need 
rules as codified in 10 NCAC 3R .2600 
when applicable; 

(2) DPS approves the architectural draw- 
ings, physical plant changes, con- 
struction and room usage of the facility; 

(3) DPS determines that the applicant is in 
compliance with all fire safety, sanita- 
tion and waste disposal requirements; 

(4) DPS conducts an on-site inspection; 
and 

(5) DPS reviews the facility to determine 
compliance with licensure rules and ap- 
plicable statutes. 

(b) No license shall be issued when DFS 
determines that there is an immediate threat to 
the health, safety or welfare of an individual in 
the facility. 

(c) A license shall be issued to the applicant 
for the specific premises and types of approved 
licensed services indicated on the application. 

(d) DPS shall issue a corrected license in 
cases of administrative or clerical error by the 
applicant or DPS. Such corrected license shall 
not be considered amendment of a license. 

Statutory Authority G.S. I22C-23; 122C-26; 
122C-27(5): 143B-147. 

.0209 POSTING OF LICENSE 

(a) For all faculties providing periodic and 
day services, the license shall be posted-in a 
prominent location and accessible to public 
view within the licensed premises. 

(b) For 24-hour facilities for the mentally ill 
or mentally retarded/developmcntally disabled, 
the license shall be readily available for review 
upon request. 

(c) For 24-hour facilities for substance 
abusers, the license shall be posted in a prom- 
inent location and accessible to public view 
within the licensed premises. 

(d) Additional copies of the license shall be 
available or posted in accordance with (a), (b) 
and (c) of this Rule when there are multiple 
buildings at the licensed location. 

Statutory Authority G.S. I22C-26; I43B-147. 

.0210 LICENSE RENEWAL 



NORTH CAROLINA REGISTER 



9S1 



PROPOSED RULES 



(a) Renewal of regular licenses shall be as 
specified in G.S. 122C-23(e). 

(b) Poor to license renewal, the licensee shall 
submit to DPS the following information: 

( 1 ) application for license renewal; 

(2) local fire and sanitation inspection re- 
ports which shall be submitted on an 
annual basis; and 

(3) a brief description of any changes in the 
facility since the most recent initial or 
renewal application form was com- 
pleted. 

(c) Failure of the licensee to supply the re- 
quired information may result in revocation of 
the license to operate the facility. 

(d) DFS shall obtain any other information 
necessary for proper administration and en- 
forcement of all applicable licensure require- 
ments. 



sure requirement shall not be announced more 
than 24 hours in advance and may be con- 
ducted at any time of the day without advance 
notice when warranted. 



Statutory Authority 
122C-26; 143B-147. ' 



G.S. I22C-23(e); 



.021 1 SEPARATE LICENSE 

(a) A single license shall be issued to each 
facility with each separate and distinct service 
listed individually on the license. 

(b) Separate licenses shall be required for fa- 
cilities which are maintained on separate sites 
even though they are under the same owner- 
ship or management. 

Statutory Authority G.S. l22C-23(b); 

122C-26; USB- 147. ' 

.0212 LICENSED CAPACITY 

A facility shall accept no more clients than 
the number for which it is licensed. 

Statutory Authority G.S. 122C-26; 143B-147. 

.02U LICENSURE INSPECTION 

(a) DFS shall inspect all facilities prior to li- 
censure. If a facility is provisionally licensed, 
DFS shall re-inspect the facility prior to expi- 
ration of the provisional license to assure cor- 
rection of findings of non-compliance. Once 
a regular license has been issued to a facility, 
the facility shall receive an on-site licensure 
inspection at least once every two years, and 
more frequently if necessary, to determine 
compliance with all applicable licensure re- 
quirements. 

(b) All facility inspections shall be conducted 
in accordance with the provisions of G.S. 
122C-25. 

(c) Inspections conducted as a result of a 
complaint alleging the violation of any licen- 



Statutory 
122C-27(4). 



Authority G.S. 122C-2S(c); 



.0214 CLOSURE OF A FACILITY OR 

DISCONTINUATION OF A SERVICE 

When a licensee plans to close a facility or 
discontinue a service, written notice at least 30 
days in advance shall be provided to DFS. 
This notice shall address continuity of sendees 
to clients in the facility. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0215 DENIAL: SUSPENSION: REVOCATION 
OR AMENDMENT OF LICENSE 

(a) DFS may deny, revoke, suspend or 
amend a License when there is substantial fail- 
ure to meet any of the requirements of G.S. 
122C, Article 2 or other applicable statutes or 
any applicable rule adopted to meet the pro- 
visions of these statutes. 

(b) When an application for initial license is 
denied, DFS shall give the applicant written 
notice of intent to deny the license and the 
reasons for the denial. The written notice shall 
also advise the applicant of the right to request 
a contested case hearing according to the pro- 
cedures in Rule .0219 of this Section. Despite 
any appeal action, the facility shall not operate 
until a decision is made to issue a license. 

(c) Except for summary suspensions which 
are governed by (d) of this Rule, DFS shall 
give the licensee written notice of intent to re- 
voke, suspend or amend the license; the rea- 
sons for the proposed action; and the right to 
request a contested case hearing according to 
the procedures in Rule .0219 of this Section. 
If the licensee does not request a contested case 
hearing within the prescribed time, DFS may 
revoke, suspend or amend the license imme- 
diately. If the licensee petitions for a hearing, 
the existing license does not expire and no ac- 
tion may be taken until the last day for apply- 
ing for judicial review of the order under G.S. 
150B-3and 150B-45. 

(d) Should findings show that public health, 
safety or welfare considerations require emer- 
gency action, DFS shall issue an order of 
summary suspension and include the findings 
in its order. At the time the order is issued, 
DFS shall also petition the Office of Adminis- 
trative Hearings for a contested case hearing in 
the matter according to G.S. 150B-23(a). The 



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PROPOSED RULES 



order shall suspend only those privileges or 
services as necessary' to protect the public in- 
terest. Examples of specific services or privi- 
leges include suspension of admissions, 
removal of all clients or a certain category of 
at-risk clients from the facility, suspension of 
on-site laboratory services, and suspension of 
privileges to use a certain building or portion 
of a building. An order of summary suspen- 
sion shall be effective on the date specified in 
the order or on sendee of the order at the last 
known address of the licensee, whichever is la- 
ter, and shall be in full force and effect during 
any contested case hearing as provided for in 
G.S. 150B-3(c). The order may also set a date 
by which the licensee shall remove the cause 
for the emergency action. If the order for 
summary suspension includes a date by which 
the licensee shall remove the cause for emer- 
gency action and the licensee fails to meet that 
deadline, DFS may take action to revoke or 
amend the facility's license according to (c) of 
this Rule. 

(e) When all appeal opportunities have been 
exhausted or the time for such appeals has ex- 
pired and a final decision is made to deny, re- 
voke or amend a license, an applicant or 
licensee may not re-apply for the licensed ser- 
vice or privilege until at least six months fol- 
lowing the date of the fmal decision, and shall 
meet all requirements of initial licensure. 

Statutory Authority G.S. 122C-24; 122C-26; 
122C-27; 143B-147; I50B-3; 150B-12(a); 
150B-23(a); 150B-45. 

.0216 WAIVER OF LICENSURE Rl LES 

(a) The Director of DFS may waive any li- 
censure rule contained in 10 NCAC 14K 
through 140 provided the issuance of the 
waiver is for good cause and will not affect the 
health, safety or welfare of individuals within 
the facility. 

(b) Requests for waivers shall be sent to the 
Director of DFS, 701 Barbour Drive, Raleigh, 
North Carolina 27603. 

(c) The request shall be in writing and shall 
contain: 

( 1 ) the name, address and telephone num- 
ber of the requester; 

(2) the name, address and telephone num- 
ber of the facility for which the waiver 
is requested; 

(3) the rule number and title of the rule(s) 
or requirements for which waiver is be- 
ing sought; 



(4) a statement of facts necessitating the 
request with supporting documents as 
appropriate; and 

(5) documentation of area board approval, 
if and when requests are from area pro- 
grams and contract agencies of area 
programs, or documentation of govern- 
ing body approval when requests are 
from private facilities not contracting 
with area programs. 

(d) Prior to issuing a decision on the waiver 
request, the Director of DFS shall consult with 
the Director of DMH/MR/SAS; and may also 
request additional information or consult with 
additional parties as appropriate. 

(e) A decision regarding the waiver request 
shall be issued in writing by the Director of 
DFS and shall state the reasons why the re- 
quest was granted or denied and any special 
conditions relating to the request. A copy of 
the decision shall be sent to the Director of 
DMH/MR/SAS. If the rule(s) in question was 
adopted by the commission, the Director of 
DMH/MR/SAS shall send a copy of the deci- 
sion to all commission members. 

(f) The decision of the Director of DFS re- 
garding a waiver request may be appealed to 
the commission through the contested case 
process set out in 10 NCAC 14B .0300. The 
appeal shall be in writing and shall be filed 
within 30 days of receipt of the decision re- 
garding the waiver request. 

(g) Waivers shall not exceed the expiration 
date of the current license and shall be subject 
to renewal consideration upon the request of 
the licensee. 

Statutory Authority G.S. I22C-23(f); 
122C-26(4); I22C-27(9); 143B-147. 

.0217 DECLARATORY RE LINGS 

(a) The commission shall have the authority 
to issue all declaratory rulings arising under 
G.S. 122C, Article 2, and 10 NCAC 14K 
through 140. 

(b) Requests for declaratory rulings shall be 
initiated by the filing of a petition with the 
commission at 325 N. Salisbury Street, Ra- 
leigh, N.C. 27611 in care of the division direc- 
tor. The petition shall contain the following 
information: 

(1) the name, address, and telephone num- 
ber of the petitioner; 

(2) the statute(s) or rule(s) to which the 
petition relates; 

(3) a concise statement of the facts giving 
rise to the petition and the impact or 
potential impact of the statute(s) or 



NORTH CAROLINA REGISTER 



9S3 



PROPOSED RULES 



rule(s) on the petitioner, with support- 
ing documentation as appropriate; 

(4) a specific request for a declaratory' rul- 
ing; and 

(5) the consequences of a failure to issue the 
declaratory' ruling. 

(c) The declaratory ruling process may con- 
sist of written submissions, hearings or other 
procedures deemed appropriate by the chair- 
man of the commission or designee. The 
chairman or designee may notify persons who 
might be affected by the issuance of the de- 
claratory ruling of any opportunity that exists 
to submit written statements or make oral 
presentations at a hearing. 

(d) A record of all declaratory ruling pro- 
ceedings shall be maintained by the agency le- 
gal specialist of the division and shall be 
available for public inspection during regular 
business hours. The record shall contain the 
following information: 

( 1 ) the petition requesting the declaratory 
ruling; 

(2) all of the memoranda and written sub- 
missions relating to the declaratory rul- 
ing: 

(3) a recording or transcript of any hearing 
that is held pursuant to the petition for 
the declaratory ruling; and 

(4) the declaratory ruling or a statement of 
the reasons for refusal to issue the de- 
claratory ruling. 

(e) The commission may decline to issue a 
declaratory ruling if it has good cause to be- 
lieve that the issuance of a declaratory rulmg 
would be undesirable. Good cause for declin- 
ing to issue a declaratory ruling may include 
the following instances: 

( 1 ) the petition for the declaratory ruling 
addresses a situation or set of facts si- 
milar to one that was considered during 
the rule-making process, unless the 
petitioner can show a change in cir- 
cumstances sufficient to warrant issu- 
ance of the declaratory ruling; or 

(2) the facts contained in the petition reveal 
the existence of a factual dispute, and a 
contested case would be more appro- 
priate. 

(f) The commission shall issue the declara- 
tory ruling or notify the petitioner of its refusal 
to issue the declaratory ruling and the reasons 
for that refusal within 60 days of the receipt uf 
the petition by the commission. 

Statutory Authority G.S. 122C-26; 143B-10: 
143B-147: I50B-/7. 



.0218 CONTESTED CASES 

(aj Appeals Procedure. 

(1) Except for contested cases regarding 
summary suspensions which shall be 
initiated in accordance with Rule 
.0215(d) of this Section, a licensee or an 
applicant for a license who has been 
notified by DFS of its intent to take 
adverse action on a license or applica- 
tion for license may petition for a hear- 
ing prior to the issuance of the final 
decision on the adverse action in ac- 
cordance with G.S. 150B-3. 

(2) The petition shall be filed with the Of- 
fice of Administrative Hearings within 
20 days after receipt of the notification 
concerning the adverse action. 

(3) In accordance with G.S. 1A-1. Rule 
4(j)4, a copy of the petition shall be 
served on a registered agent for service 
of process for the department. A list 
of registered agents may be obtained 
from the Office of I egislative and Legal 
Affairs, Department of Human Re- 
sources, 325 North Salisbury Street, 
Raleigh, North Carolina 2761 1. 

(b) Recommended Decision. 

( 1 ) The administrative law judge m the Of- 
fice of Administrative Hearings shall is- 
sue a recommended decision on the 
contested case in accordance with G.S. 
150B-34. 

(2) Prior to the issuing of the recommended 
decision, the chairman of the commis- 
sion or members designated by the 
chairman or any party to the contested 
case may submit written arguments to 
the administrative law judge. A copy 
of these arguments shall be included in 
the official record. 

(c) Final Decision. The secretary shall make 
the final agency decision in contested cases 
processed under this Rule in accordance with 
G.S. 150B-36. 

Statutory Authority G.S. 122C-24; J22C-26; 
MSB- 147: 150B-3; 150B, Article 3. 

SECTION .0300 - FACILITY AND PROGRAM 
MANAGEMENT 

.0301 GOVERNING BODY 

The governing body shall establish policies, 
rules and a table of organization to guide re- 
lationships between itself and the operator and 
staff. Written policies regarding authority and 
responsibility shall be required. 



984 



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PROPOSED RULES 



Statutory Authority G.S. I22C-26; 143B-147. 

.0302 OPERATOR 

(a) The governing body shall designate in 
writing an operator to be responsible for the 
management of the facility. An individual 
shall not serve concurrently as the operator of 
more than one licensed facility except under 
the following conditions: 

(1) the facilities under the management au- 
thority of the operator shall only be 
those which are owned or leased by the 
same governing body for whom the 
operator is functioning as a full-time 
employee; and 

(2) when multiple facilities are operated 
under the management authority of a 
single operator, all such facilities shall 
be within a 50-mile radius of the oper- 
ator's primary work location. 

(b) A 24-hour facility licensed for more than 
six clients shall not be included under the 
shared management authority authorized in 
this Rule. 

(c) Should the position of the operator be- 
come vacant, the governing body shall notify 
DFS in writing of: 

( 1 ) the name of the temporary replacement 
within seven days of such vacancy; and 

(2) the name of the permanent replacement 
within seven days of such designation. 

Statutory Authority G.S. 122C-26; MSB- 147. 

.0303 DISCLOSURE OF CONVICTIONS 

/Ml facilities shall require that applicants for 
employment disclose any conviction of an of- 
fense against the law other than a minor traffic 
violation. 

Statutory? Authority G.S. I22C-26; 143B-147. 

.0304 PROFESSIONAL STAFF 
QUALIFICATIONS 

The professional staff of a facility shall be 
currently licensed, registered or certified, as 
appropriate, in accordance with applicable 
N.C. State Laws and shall meet the individual 
qualifications established by the governing 
body of the facility for each position. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0305 PERSONNEL RECORD 

A separate personnel record shall be main- 
tained on each individual employed indicating 
the training, experience and other qualifica- 
tions for the position, including verification of 



this information. In cases where professional 
licensure, registration or certification is re- 
quired, annual documentation shall be in- 
cluded in the individual's personnel record. 

Statutory Authority G.S. I22C-26; I43B-147. 

.0306 JOB DESCRIPTION 

Each employee shall be furnished a copy of 
his/her job description. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0307 EMPLOYEE EDUCATION AND 
TRAINING 

(a) Each facility shall provide or secure ori- 
entation programs and annual continuing edu- 
cation and training for employees to enhance 
their competencies and knowledge needed to 
administer, manage and deliver quality ser- 
vices. 

(b) Each facility shall assure the maintenance 
of an ongoing record of all education and 
training activities provided or secured for em- 
ployees. 

Statutory' Authority G.S. 122C-26; 143B-147. 

.0308 ORGANIZATION OF POLICIES AND 
PROCEDURES 

Each facility shall maintain its policies and 
procedures at an accessible location in an in- 
dexed, organized manner. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0309 CLIENT FEE FOR SERVICE 

The governing body shall develop written 
policies for client fee assessment and collection 
practices. 

Statutory Authority G.S. 122C-26; 122C-I46; 
143B-147. 

.0310 INFORMATION FOR CLIENTS 

The facility shall make available information 
regarding rates, services, client rights, and other 
client-specific policies and rules to each client, 
potential client and legally responsible person. 

Statutory Authority G.S. 122C-26; I22C-146; 
143B-147. 

.031 1 MANAGING CLIENTS' FUNDS IN 
RESIDENTIAL FACILITIES 

(a) Each governing body shall develop and 
implement written policies regarding the man- 
agement of funds of clients in residential facili- 
ties. 



NORTH CAROLINA REGISTER 



985 



PROPOSED RULES 



(b) Fach client shall manage his her own 
funds whenever possible. 

(c) The provider shall manage client funds 
only upon written request by the client or le- 
gally responsible person and shall provide the 
client at least monthly an accurate accounting 
of monies received and disbursed and the bal- 
ance on hand. 

Statutory Authority (7.5. I22C-26; 143B-147. 

.0312 SCREENING 

(a) The governing body shall develop written 
policies establishing a systematic means of 
screening each individual s need for services or 
whether he/she shall be referred to another 
service. 

(b) The policy shall designate who is deemed 
qualified based on education and experience to 
make screening determinations. 

(c) When possible and appropriate, and with 
client consent, family members or other per- 
sons significantly involved with the client's life 
shall be encouraged to participate in the 
screening of the client. 

(d) Screening shall include: 

( 1 ) assessment of the individual's presenting 
problem(s) in relation to the services 
offered by the facility; and 

(2) disposition (referrals and or recommen- 
dations). 

Statutory Authority G.S. 122C-26; 143B-147. 

.0313 ADMISSION 

(a) The governing body shall develop written 
admission policies and procedures for each fa- 
cility which shall include at least the following: 

(1) designation of staff who are deemed 
qualified to admit clients; 

(2) admission criteria; 

(3) procedures for compliance with Article 
5 of Chapter 122C of the N.C. General 
Statutes, Parts 2, 3, 4. 5, 7 and 8 as ap- 
plicable; and 

(4) in residential facilities, except for respite 
services, requirements for an agreement 
between the facility and the client or 
his her legally responsible person which 
shall delineate the responsibilities of 
both parties for the provision of med- 
ical and dental services, education and 
other needs. 

(b) For voluntary admissions each applica- 
tion for admission and consent for 
treatment habilitation shall be signed by the 
client or legally responsible person upon ad- 
mission to a facility. For involuntarv admis- 



sions, documentation of the commitment 
process shall be maintained by the facility. 

Statutory^ Authority G.S. 122C-26; 143B-147. 

.0314 ASSESSMENT 

(a) The governing body shall develop written 
policies and procedures relative to assessment 
requirements for individuals served by the fa- 
cility. 

(b) Mental Health Facilities: 

(1) Inpatient psychiatric; residential acute 
treatment; partial hospitalization; resi- 
dential treatment for children and 
youth; and day treatment facilities for 
children and youth shall complete: 

(A) An individual admission assessment 
within 24 hours of admission, mental 
status, admitting diagnosis, and deter- 
mination of need for additional infor- 
mation, diagnostic tests or evaluations; 

(B) A preliminary - individual treatment 
plan within 72 hours of admission; and 

(C) Current social, medical, psychiatric, 
educational and vocational histories and 
assessments such as substance abuse, 
developmental, legal, nutritional, etc., 
completed or obtained within 30 days 
if appropriate. 

(2) Psychosocial rehabilitation programs 
and group homes for adult and elderly 
clients shall complete an admission note 
within 24 hours for each client who is 
admitted to the facility. The admission 
note shall include the present condition 
of the client reported in objective, be- 
havioral terms; the name of the mental 
health professional sj who is responsi- 
ble for the treatment and, or case man- 
agement of the client; and the reason for 
admission. 

(c) Mental Retardation Developmental Dis- 
ability Facilities and Sheltered Workshops: 

( 1 ) Within 30 days following admission, the 
following assessment information shall 
be completed: 

(A) the present condition of the client 
reported in objective, behavioral terms, 
and where possible a description of the 
client's condition by family members; 

(B) social, developmental and medical 
histories and assessments. Additional 
histories and assessments shall be com- 
pleted as appropriate (e.g., vocational, 
psychiatric, legal, educational and nu- 
tritional). Histories and assessments 
venerated bv other facilities service 



9S6 



SORTH CAROLINA REGISTER 



PROPOSED RULES 



providers may be used for respite pro- 
grams; 

(C) determination of, and request for, 
additional referrals for special diagnostic 
tests, assessments or evaluations, if 
needed; 

(D) results of other standardized and 
non-standardiy.ed evaluations in the ar- 
eas identified in (c)(1)(B) of this Rule; 

(E) summary - of client and, if appropriate, 
family strengths and weaknesses; 

(F) copies of relevant evaluations from 
other agencies or service providers. 

(2) An ADAP which operates within a 
sheltered workshop that meets the re- 
quirements of the Division of Voca- 
tional Rehabilitation Services shall be 
considered to have an approved ADAP 
evaluation program which may provide 
the information for the evaluation re- 
port. 

(3) Within 30 days prior to admission to a 
facility, a medical assessment shall be 
completed indicating the client's ability 
to participate in the program, absence 
of communicable disease and immuni- 
zation status. If the client has specific 
medical problems, the physician's as- 
sessment shall include a written state- 
ment regarding precautions to be taken. 
The physician's assessment shall be up- 
dated at least annually during the cli- 
ent's placement in the facility except for 
ADAP, alternative family living and 
supervised independent living. 

(d) Substance Abuse Facilities: 
(1) Substance abuse facilities, with the ex- 
ception of supervised independent liv- 
ing, alternative family living and 
halfway houses, shall conduct an as- 
sessment of the client after admission 
as follows: 

(A) admission assessment to be done 
within 24 hours of admission which in- 
cludes reason for admission, mental 
status including suicide potential, ad- 
mitting diagnosis, medical history and 
general physical condition, activities as- 
sessment, history of or assessment of 
potential for physical abuse of family 
members or others, a family assessment 
when minors are served, legal status and 
substance use history; 

(B) in inpatient hospital treatment, resi- 
dential treatment rehabilitation, non- 
hospital medical detoxification, and 
outpatient detoxification facilities, a 



medical examination shall be completed 
within 24 hours of admission; and 
(C) except in detoxification facilities, 
historical material including social, le- 
gal, psychiatric, educational and voca- 
tional assessments shall be completed 
within 30 days of admission. 
(2) In halfway houses, a thorough review 
shall be made to determine appropri- 
ateness of continued service in the fa- 
cility within 30 days of admission and 
at least every three months thereafter, 
(e) Facilities Serving More Than One Disa- 
bility (except for sheltered workshops): 

(1) An admission note shall be completed 
for each client within 24 hours of ad- 
mission which includes at least the fol- 
lowing: 

(A) the present condition of the client 
reported in objective, behavioral terms; 

(B) the reason for admission; and 

(C) the name of the qualified mental 
health professional, qualified develop- 
mental disabilities professional or qual- 
ified substance abuse professional as 
appropriate, who has designated re- 
sponsibility for the client's 
treatment program or case management 
plan. 

(2) The facility shall obtain assessment in- 
formation judged to be essential to 
serving the client in the facility, from 
the qualified mental health professional, 
qualified developmental disabilities 
professional or qualified substance 
abuse professional who has designated 
responsibility for the client's 
treatment program or case management 
plan. 

(3) Any other assessment information re- 
quired by the facility's own policies 
shall be completed or obtained as re- 
quired by those policies. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0315 INDIVIDUAL TREATMENT/PROGRAM 
PLAN 

(a) The governing body shall have written 
policies and procedures for the development 
of individual treatment program plans and the 
assignment of staff responsibilities for imple- 
mentation of such plans. 

(b) Individual plans for each client shall be 
based upon an evaluation of the client's con- 
dition, assets and needs and the resources to 
meet these needs. This plan shall provide a 
systematic approach to the 



NORTH CAROLINA REGISTER 



9S7 



PROPOSED RULES 



treatment ,'habilitation of the client and sub- 
stantiate the appropriateness of the treatment 
or habilitation goals. The plan shall be devel- 
oped in partnership with the client or individ- 
ual acting in behalf of the client. Clinical 
responsibility for the development and imple- 
mentation of the plan shall be designated. 
(c) Mental Health Facilities: 

( 1 ) Inpatient psychiatric; residential acute 
treatment; partial hospitalization; resi- 
dential treatment for children and 
youth; and day treatment for children 
and youth facilities shall comply with 
the following requirements: 

(A) A comprehensive treatment plan, 
based on information gathered during 
the assessment process, shall be devel- 
oped in cooperation with the client and 
implemented within 30 days of admis- 
sion, with the exception of inpatient 
psychiatric and residential acute treat- 
ment facilities wherein the plan shall be 
implemented within ten days of admis- 
sion. The comprehensive plan shall 
include at least the following: diagnosis 
and time-specific short and long-term 
measurable goals, strategies for reaching 
goals and staff responsibility for plan 
implementation. 

(B) Progress notes shall be completed on 
at least a weekly basis and reflect the 
client's progress or lack of progress to- 
ward meeting goals, staff interventions 
and information which may have a sig- 
nificant impact on the client's condi- 
tion. 

(C) A thorough review of the compre- 
hensive treatment plan shall be carried 
out and documented in the plan at least 
every six months or more frequently if 
medically or clinically indicated. 

(2) Group homes for adult and elderly in- 
dividuals who are mentally ill shall 
comply with the following require- 
ments: 

(A) Individual client plans shall be de- 
veloped in cooperation with the client, 
the facility staff and the mental health 
professional who is responsible for the 
treatment and/or case management of 
the client within 30 days of the client's 
admission to the facility. The plan shall 
include at least the following: time-spe- 
cific short and long-term goals to be 
addressed by the client and the facility 
staff documentation of coordination of 
the plan for the client with the com- 
prehensive treatment plan and the des- 



ignated treatment responsibilities of the 
mental health professional providing 
treatment and the responsibilities of the 
facility staff. 

(B) Progress notes shall be completed on 
a monthly basis which reflect the cli- 
ent's progress or lack of progress toward 
meeting goals; documentation of coor- 
dination between the facility staff and 
the mental health professional who is 
responsible for treatment; and any other 
information which may have a signif- 
icant impact on the client's condition. 

(C) A thorough review of the plan shall 
be carried out and documented in the 
plan at least annually or more fre- 
quently if medically or clinically indi- 
cated. 

(3) Psychosocial rehabilitation programs 
shall comply with the following re- 
quirements: 

(A) A plan shall be developed in coop- 
eration with the client within 30 days 
of the client's admission to the facility. 
The plan shall include at least the fol- 
lowing: 

(i) Assessment of client's strengths 
and weaknesses. 
(ii) Individual service goals and activ- 
ities in which the client will partic- 
ipate, 
(hi) Designation of staff responsibility 
for coordination with goals contained 
in the client's comprehensive treat- 
ment plan. 

(B) Progress notes shall be completed on 
a monthly basis which document the 
client's progress toward goal achieve- 
ment and other significant information 
regarding the client's situation. 

(C) The plan shall be reviewed and 
changes documented at least every six 
months or more frequently if indicated 
based on client functioning. 

(4) Any facility which serves individuals on 
a drop-in basis shall maintain a daily 
attendance log, a daily activity plan, and 
documentation of referrals to other ser- 
vice providers. 

(d) Mental Retardation/Developmental Dis- 
ability Facilities and Sheltered Workshops: 
( 1 ) Individual program plans shall be de- 
veloped and implemented within 30 
days of admission to all facilities with 
the exception of respite care programs. 
The plan shall be reviewed at least 
quarterly and assessed and redeveloped 
at least annuallv. For clients in A DAP 



9,S',V 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



and sheltered workshop placements, the 
annual assessment shall include a re- 
view to determine the need for referral 
to Vocational Rehabilitation or other 
services. Program plans shall provide 
the basis for the development of indi- 
vidual goal plans. Program plans shall 
provide a systematic approach to the 
habilitation of the client and substanti- 
ate the appropriateness of the habili- 
tation goals. Program plans shall be 
developed in partnership with clients or 
individuals acting in behalf of clients. 
Clinical responsibility for the develop- 
ment and implementation of program 
plans shall be designated. 

(2) Individual goal plans shall be developed 
in the appropriate developmental and 
vocational skill areas. Goal plans shall 
be assessed on a quarterly basis in all 
facilities with the exception of develop- 
mental disability/behavior disorder 
group homes wherein goal plans shall 
be assessed on a monthly basis. Such 
assessment shall address the client's 
progress or lack of progress toward 
meeting the plan and review of the plan 
for appropriateness of established goals. 
Individual goal plans are not required 
for clients in supervised independent 
living, alternative family living, shel- 
tered workshops and ADAP clients in 
supported employment. 

(3) In specialized community residential 
centers, nursing care plans shall be de- 
veloped and implemented in addition to 
the individual program plan. The 
nursing care plan must address medical 
needs and nursing care. Such plans 
shall be integrated with individual goal 
plans. 

(4) In developmental disability/behavior 
disorder group homes, the individual 
program plan shall specify a time-spe- 
cific admission of less than six months, 
to be extended as needed on a six- 
month basis, and shall emphasize pro- 
gramming objectives that assist the 
client in exiting to a less restrictive set- 
ting. 

(5) Progress notes shall be completed which 
reflect the client's progress or lack ot 
progress toward meeting program plan 
goals, staff interventions and any infor- 
mation which may have a significant 
impact on the client's condition. Doc- 
umentation shall be made of any con- 



ferences or involvements with the 
client's family or involved agencies. 

(A) Progress notes for respite services 
shall be completed after each respite 
episode. 

(B) Progress notes for developmental 
disability, behavior disorder group 
homes shall be completed at least 
monthly. 

(C) Progress notes in all other services 
shall be on at least a quarterly basis. 

(D) Except for respite services, when the 
client is a minor, progress reports re- 
garding the program plan shall be given 
to the legally responsible person on a 
quarterly basis. 

(e) Substance Abuse Facilities: 

(1) The preliminary treatment plan or de- 
toxification instructions shall be initi- 
ated within 24 hours of admission and 
shall be based upon information gath- 
ered during the admission assessment. 

(2) The comprehensive treatment plan for 
clients in residential treatment /habili- 
tation facilities, therapeutic homes and 
outpatient treatment facilities shall be 
implemented within 30 days of admis- 
sion. The comprehensive treatment 
plan for clients in inpatient hospital 
treatment programs shall be imple- 
mented within ten days of admission. 
Such plan shall include diagnosis, time- 
specific short and long-term measurable 
goals, and strategies for reaching goals. 
The treatment plan shall be reviewed 
and revised whenever medically or clin- 
ically indicated or at least every six 
months. 

(3) Progress notes shall be written to reflect 
the client's progress or lack of progress 
toward meeting the treatment plan 
goals and shall reflect staff interventions 
and any information which may have a 
significant impact on the client's status. 
Documentation shall be made of any 
conference or involvements with the 
client's family or involved agencies and 
any major events related to the client. 

(A) Progress notes in outpatient services, 
including outpatient detoxification ser- 
vices, shall be completed after each cli- 
ent visit. 

(B) Progress notes shall be completed 
weekly in residential treatment /habili- 
tation facilities and therapeutic homes. 

(C) Progress notes shall be completed on 
each client in social setting and non- 



NORTH CAROLINA REGISTER 



989 



PROPOSED RULES 



hospital medical detoxification facilities 
at least every eight hours. 

(D) In inpatient hospital treatment facil- 
ities, progress notes shall be completed 
on each shift. 

(E) A weekly summary note shall be 
completed in halfway houses, super- 
vised independent living and alternative 
family living. 

(f) Facilities Serving More Than One Disa- 
bility (Except for Sheltered Workshops): 

(1) An individual client plan for services to 
be provided by the facility shall be de- 
veloped jointly by the client, facility 
staff and the qualified mental health 
professional, qualified developmental 
disabilities professional or the qualified 
substance abuse professional, as appro- 
priate, who is responsible for the client's 
treatment/program or case management 
plan within 30 days of admission to the 
facility. This plan shall include at least 
the following: 

(A) Specified goals and strategies to be 
carried out by the facility staff to sup- 
port the attainment of goals specified 
by the qualified mental health profes- 
sional, qualified developmental disabili- 
ties professional or qualified substance 
abuse professional who has designated 
responsibility for the client's 
treatment/ program or case management 
plan. 

(B) Documentation of joint development 
of the individual client plan by the cli- 
ent or legally responsible person, the 
facility staff and the professional who 
has designated responsibility for the cli- 
ent's treatment/program or case man- 
agement plan. 

(2) Progress notes shall be completed on at 
least a monthly basis which reflect: 

(A) The client's progress or lack of pro- 
gress in relation to his/her goals and 
strategies within the client plan; and 

(B) Documentation of coordination be- 
tween the facility and the professional 
who has designated responsibility for 
the client's treatment, program or case 
management plan. 

(3) A thorough review of the individual 
client plan shall be carried out annually 
or more frequently if medically or clin- 
ically indicated. The review of the in- 
dividual client plan shall be conducted 
cooperatively by the client or legally 
responsible person, the facility staff and 
the professional who has designated re- 



sponsibility for the client's 

treatment/program or case management 
plan. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0316 DISCHARGE/AFTERCARE 

(a) The governing body shall develop written 
policies and procedures for each facility which 
shall include at least the following: 

(1) discharge criteria; and 

(2) in 24-hour facilities, procedures for de- 
veloping an individual discharge plan in 
accordance with G.S. 122C-61(2). 

(b) Mental Health Facilities: 

(1) Inpatient psychiatric; residential acute 
treatment; partial hospitalization; resi- 
dential treatment for children and 
youth, and day treatment for children 
and youth facilities shall complete a 
discharge summary within 15 days fol- 
lowing discharge which shall include at 
least the following: 

(A) reason for admission; 

(B) significant findings; 

(C) course and progress of the client with 
regard to each identified need; 

(D) condition of client at discharge; 

(E) recommendations and arrangements 
for further services; treatment; and 

(F) final diagnosis. 

(2) All other mental health faculties shall 
complete, within 15 days following dis- 
charge, a discharge note which reflects 
the status of the client at the time of 
discharge from the facility and which 
documents notification of the mental 
health professional who is responsible 
for the treatment and/or case manage- 
ment of the client. 

(c) Mental Retardation/Developmental Dis- 
ability Facilities and Sheltered Workshops: 

(1) Each facility shall develop a written 
discharge summary. 

(2) A non-respite discharge summary shall 
be completed within 1 5 days of the cli- 
ent's discharge which includes at least 
the following information: 

(A) reason for admission; 

(B) significant findings; 

(C) course and progress of the client with 
regard to each identified need; 

(D) fnal assessment, including the gen- 
eral observations and understanding of 
the client's condition initially, during 
and at discharge; 

(E) recommendations and arrangements 
for further services treatment; and 



990 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



(F) final diagnosis. 
(3) A respite discharge summary shall be 
completed within 1 5 days of the respite 
discharge and shall include as a mini- 
mum: 

(A) summary of the services provided; 
and 

(B) general observations and under- 
standing of the client's condition ini- 
tially, during and at discharge. 

(d) Substance Abuse Facilities: 

(1) Substance abuse facilities which provide 
active treatment shall have a written 
plan for aftercare services which mini- 
mally includes: 

(A) philosophy and policies of aftercare; 

(B) plan for delivering aftercare services, 
including the aftercare services which 
are provided; 

(C) provision for written agreements with 
individuals or organizations if aftercare 
services are not provided directly by the 
facility; and 

(D) referral procedures. 

(2) Substance abuse facilities, with the ex- 
ception of day activity, supervised in- 
dependent living, alternative family 
living and halfway houses, shall com- 
plete a discharge summary within 1 5 
days following discharge of a client 
which shall include at least the follow- 
ing information: 

(A) reason for admission; 

(B) significant findings; 

(C) condition of client at time of dis- 
charge; 

(D) final diagnosis; and 

(E) recommendations or referrals for 
other services. 

(e) Facilities Serving More Than One Disa- 
bility (Except for Sheltered Workshops): A 
discharge summary shall be completed within 
15 days of the client's discharge from the facil- 
ity. The discharge summary shall include at 
least the following: 

(1) reason for admission; 

(2) course and progress of the client in re- 
lation to the goals and strategies in the 
individual client plan; 

(3) condition of the client at discharge; and 

(4) documentation of notification of the 
professional who has designated re- 
sponsibility for the client's 
treatment/program or case management 
plan. 

Statutory Authority G.S. I22C-26; I43B-147. 



.0317 CLIENT RECORDS 

(a) Facilities shall maintain a client record for 
each individual admitted to the faculty. 

(b) Each client record shall contain an iden- 
tification face sheet which includes at least the 
following identifying information: 

(1) client name (last, first, middle, maiden); 

(2) client record number; 

(3) client address; 

(4) also known as; 

(5) date of birth; 

(6) race, sex and marital status; 

(7) social security number; 

(8) home telephone number; 

(9) work telephone number; 

(10) name, address and telephone number 
of legally responsible person and/or 
next of kin; 

(11) admission date; and 

(12) discharge date. 

(c) Client-specific requirements delineated in 
Rules .0312 through .0316 of this Subchapter 
shall be documented in the client record. 

(d) Information required in other rules in this 
Subchapter (such as, but not limited to, medi- 
cation prescribing, administering medication, 
medication education, restraint or seclusion 
and laboratory services) shall be documented 
in the client record. 

(e) Additional information which shall be 
included in the client record may include the 
following: 

(1) diagnostic tests, assessments, evalu- 
ations, consultations, referrals, support 
services or medical services provided; 

(2) known allergies and/or hypersensitivi- 
ties; 

(3) major events, accidents or medical 
emergencies involving the client; 

(4) consent for, and documentation of, re- 
lease of information; 

(5) documentation of applied behavior 
modification which includes at risk or 
other intrusive interventions, including 
authorization, duration, summaries of 
observation and justification; 

(6) conferences or involvements with the 
client's family, significant others or in- 
volved agencies 'service providers; 

(7) documentation of attempts to ascertain 
why a client is not attending a service 
in accordance with his/her established 
schedule; and 

(8) documentation of attendance in ser- 
vices other than residential services. 

(f) All client record entries shall include the 
date of entry and authentication by the indi- 
vidual making the entry. Time shall be re- 



NORTH CAROLINA REGISTER 



991 



PROPOSED RULES 



corded based upon the nature of services (e.g., 
shift notes, medication administration, 
accidents injuries, at risk procedures). 

(g) All client record entries shall be legible 
and made in permanent ink or typewritten. 

(h) Alterations in client records, which are 
necessary in order to correct recording errors 
or inaccuracies, shall be made as follows: 

( 1 ) Alterations shall be made by the indi- 
vidual who recorded the entry. 

(2) A single, thin line shall be drawn 
through the error or inaccurate entry 
with the original entry still legible. 

(3) The corrected entry shall be legibly re- 
corded above or near the original entry 
and or an explanation as to the type of 
documentation error or inaccuracy shall 
be recorded. 

(4) Alterations include the date of cor- 
rection and initials of recorder. 

(i) Each page in client records originated 
within the facility shall inrlude the client's 
name and client recoid number, when as- 
signed. 

(j) Client records shall contain only symbols 
and abbreviations included on an abbreviation 
list approved by the facility. 

(k) Notations in a client's record shall not 
personally identify other clients. 

(1) Each facility shall designate in writing 
those individuals authorized to document in 
client records. 

(m) Forms and court orders relative to the 
admission commitment of clients shall be in- 
corporated into the client record. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0318 SERVICE COORDINATION 

(a) Coordination shall be maintained among 
all staff members contributing to the evalu- 
ation, planning and treatment habilitation ef- 
fort for each client. This may be accomplished 
in a variety of ways, such as interdisciplinary 
team meetings, inter-agency meetings and case 
management. 

(b) Each facility utilizing shifts or relief staff 
shall develop mechanisms to ensure adequate 
communication among staff regarding clients. 

Statutory Authority G.S. 122C-26: 143B-147. 

.0319 QUALITY ASSURANCE 

(a) Each governing body shall assure the es- 
tablishment and implementation of a written 
quality assurance plan which shall describe 
quality assurance activities and how they will 



be carried out. Quality assurance activities 
shall include the following: 

(1) an objective and systematic system for 
monitoring and evaluating the quality 
and appropriateness of client care; 

(2) a written plan of professional/clinical 
supervision describing such activities 
and how they shall be carried out; 

(3) the establishment and implementation 
of program evaluation activities; 

(4) the strategies for improving client care; 
and 

(5) the resolution of identified problems. 

(b) For those facilities providing 
treatment habilitation, supervision of staff of a 
facility shall be conducted as follows: 

(1) Each clinical staff member of a mental 
health facility who is not a qualified 
mental health professional shall receive 
professional supervision from a quali- 
fied mental health professional. 

(2) Each direct care staff member of a 
mental retardation facility who is not a 
qualified developmental disabilities 
professional shall be supervised by, or 
have access to the professional super- 
vision of, a qualified developmental 
disabilities professional. Such access 
shall be documented by a written 
agreement for consultation on issues 
related to the habilitative process for 
persons with mental retardation or 
other developmental disabilities. 

(3) Each clinical staff member of an alco- 
holism treatment facility who is not a 
qualified alcoholism or substance abuse 
professional shall receive professional 
supervision from a qualified alcoholism 
or substance abuse professional. 

(4 1 Each clinical staff member of a drug 
treatment facility who is not a qualified 
drug abuse or substance abuse profes- 
sional shall receive professional super- 
vision from a qualified drug abuse or 
substance abuse professional. 

(5) Each clinical staff member of a facility 
which provides both alcohol and drug 
abuse treatment who is not a qualified 
substance abuse professional shall be 
supervised by a qualified substance 
abuse professional. 

(c) Privileging of professional staff of a facil- 
ity shall be conducted as follows: 

(1) Each facility shall implement written 
policies and procedures by which the 
qualifications of each professional are 
examined and a determination made as 



992 



SORTH CAROLINA REGISTER 



PROPOSED RULES 



to treatment/habilitation privileges 
granted and supervision needed. 
(2) Delineation of privileges shall be based 
on documented verification of the indi- 
vidual's competence, training, experi- 
ence and licensure, certification or 
registration. 

Statutory Authority G.S. 122C-26; I43B-47. 

.0320 INCIDENT REPORTING 

Bach facility shall have and implement a 
written policy for reporting all incidents re- 
garding clients. The policy shall provide for 
the following: 

(1) prompt reporting of the incident to ap- 
propriate persons within the facility and 
prompt emergency care when indicated; 

(2) documentation of the essential facts sur- 
rounding the incident with such doc- 
umentation maintained in administrative 
files; 

(3) periodic review of incident reports by 
staff members to determine the cause of 
such incidents and to recommend preven- 
tive measures and corrective actions; and 

(4) evidence of corrective action(s) taken, as 
appropriate, to implement recommen- 
dations. 

Statutory Authority G.S. I22C-26: I43B-I47. 

.0321 GROUPING OF CLIENTS 

Fach facility shall have and implement a pol- 
icy to ensure that each client is served appro- 
priately in relation to age, developmental level, 
sex, and nature and severity of clinical prob- 
lems. 

Statutory' Authority G.S. 122C-26; 143B-147. 

.0322 FIRE AND DISASTER PLAN 

A written fire and disaster plan for each facil- 
ity shall be developed with the assistance of 
appropriate experts in fire and safety and shall 
be approved by the local fire authority. The 
plan shall be made available to all staff and 
evacuation procedures and routes and shall be 
posted in the facility. The plan shall include 
at least the following: 

( 1) assignments of personnel to specific tasks 
and responsibilities; 

(2) instructions on the use of alarm systems 
and signals; 

(3) information on methods of fire contain- 
ment; 

(4| a system for notification of the fire de- 
partment and occupants of the building; 



(5) location of fire-fighting equipment; evac- 
uation procedures and routes; 

(6) procedures for prompt transfer of clients 
and records to an appropriate facility; and 

(7) other provisions as the local situation 
dictates. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0323 FIRE DRILLS FOR 24-HOUR 
FACILITIES 

(a) Fire and disaster drills in a 24-hour facil- 
ity shall be held at least quarterly and shall ei- 
ther be repeated for each shift or be conducted 
when personnel from all shifts are present. 
Drills shall be conducted under conditions that 
simulate fire emergencies in order to: 

(1) acquaint staff and clients with a means 
of evacuating buildings that will ensure 
orderly and controlled exit without 
panic; 

(2) ensure that all staff members on all 
shifts are trained to perform assigned 
tasks; 

(3) ensure that all staff members on all 
shifts are familiar with the operation of 
fire-fighting equipment in the facility; 
and 

(4) provide documentation of problems that 
occurred during the drill and what was 
done to correct these problems. 

(b) Responsibility for the planning and con- 
ducting of drills shall be assigned to individuals 
who have a demonstrated ability to exercise 
leadership. 

(c) In conducting drills, emphasis shall be 
placed upon orderly evacuation rather than 
upon speed. 

(d) The facility shall have a policy requiring 
that staff participate in fire drills. 

(e) Special provisions, such as fire chutes, 
shall be made for the evacuation of non-am- 
bulatory clients. 

(f) Fire alarm systems, where available, shall 
be used regularly in fire drills. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0324 EQUIPMENT AND FLRNISIIINGS 

All residential facilities shall equip and furnish 
the bathroom, living room/den, kitchen and 
other areas of the facility in such a way as to 
provide a comfortable and normalized living 
environment. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0325 INDOOR LIVING SPACE FOR 



NORTH CAROLINA REGISTER 



993 



PROPOSED RULES 



RESIDENTIAL AND RESPITE 
FACILITIES 

Except for residential therapeutic (habilita- 
tive) camps, the following requirements apply 
to residential and respite facilities: 

( 1 ) Each facility, except for a private home, 
shall have a reception area for clients and 
visitors and private space for interviews 
and conferences with clients. 

(2) The living room den, kitchen and dining 
space shall be available to meet the clients' 
needs. 

(3) Each facility shall have indoor space for 
group activities and social gatherings. 

(4 1 The area in which therapeutic and ha- 
bilitative activities are routinely conducted 
shall be separate from sleeping areas. 

(5) In facilities with overnight accommo- 
dations for persons other than clients, 
such accommodations shall be separate 
from client bedrooms. 

(6) No client shall be permitted to sleep in 
an unfinished basement or in an attic. 

(7) In a residential facility licensed under 
residential building code standards and 
without elevators, bedrooms above or be- 
low the ground level shall be used only for 
individuals who are capable of moving up 
and down the steps independently. 

(8) Minimum furnishings for client bed- 
rooms shall include a separate bed, bed- 
ding, pillow, bedside table, and storage for 
personal belongings for each client. 

(9) Only clients of the same sex may share 
a bedroom except for children age six or 
below and for married couples. 

(10) Children and adolescents shall not share 
a bedroom with an adult client. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0326 OUTDOOR ACTIVITY 
SPACE/EQUIPMENT 

(a) Eacilities that provide structured outdoor 
activities for clients shall provide space that is 
suitable for the ages and treatment habilitation 
needs of the clients served. 

(b) Outdoor equipment shall be maintained 
in good repair, safe for use and shall be age 
appropriate. 

Statutory Authority G.S. I22C-26; 143B-147. 



(1) G.S. 122C-51. Declaration of policy on 
clients' rights; 

(2) G.S. 122C-52. Right to confidentiality; 

(3) G.S. 122C-53. Exceptions; client; 

(4) G.S. 122C-54. Exceptions; abuse re- 
ports and court proceedings; 

(5) G.S. 122C-55. Exceptions; care and 
treatment; 

(6) G.S. 122C-56. Exceptions; research and 
planning; 

(7) G.S. 122C-57. Right to treatment and 
consent to treatment; 

(8) G.S. 122C-58. Civil rights and civil 
remedies; 

(9) GS. 122C-59. Use of corporal punish- 
ment; 

(10) G.S. 122C-60. Use of physical restraints 
or seclusion; 

(11) G.S. 122C-61. Treatment rights in 
24-hour facilities; 

(12) G.S. 122C-62. Additional rights in 
24-hour facilities; 

(13) G.S. 122C-65. Offenses relating to cli- 
ents; and 

(14) G.S. 122C-66. Protection from abuse 
and exploitation; reporting. 

Statutory Authority G.S. 122C-26; 122C-51 
through I22C-62; I22C-65; 122C-66; 143B- 
147. 

.0328 CLIENT GRIEVANCE POLICY 

The governing body shall develop and imple- 
ment a written client grievance policy which 
identifies procedures for review and disposition 
of client grievances. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0329 VOLUNTARY NON-COMPENSATED 
WORK 

The governing body shall establish a policy 
regarding voluntary non-compensated work 
performed by the client. This policy shall 
specify whether voluntary non-compensated 
work is allowed at the facility or whether it is 
prohibited by state or federal laws oi by deci- 
sion of the governing body. 

Statutory Authority G.S. 122C-26; 122C-51; 
143B-147. 



.0327 COMPLIANCE WITH CLIENTS' 
RIGHTS STATUTES 

Each facility shall have and implement poli- 
cies and procedures to ensure the rights of cli- 
ents. These procedures shall be in accordance 
with the following statutes, as applicable: 



.0330 USE OF MECHANICAL RESTRAINT 
OR SECLUSION 

(a) Those faculties which intend to employ 
the use of mechanical restraint or seclusion of 
a client shall be designated as a restrictive fa- 
cilitv bv the Division of Facility Services. 



994 



SORTH CAROLINA REGISTER 



PROPOSED RULES 



(b) The use of mechanical restraint and se- 
clusion shall be limited to those instances spe- 
cified in G.S. 122C-60. Those procedures shah 
be administered only by staff whose creden- 
tials, training and experience have been exam- 
ined and determined by the governing body to 
be adequate to qualify staff to employ such 
procedures. 

(c) The governing body shall determine 
which forms of mechanical restraint and/or 
seclusion may be utilized by the facility. There 
shall be written policies and procedures that 
govern mechanical restraint and seclusion to 
include the following: 

( 1) training of all staff who are authorized 
to use mechanical restraint or seclusion 
and documentation of such training; 
and 

(2) requirements for documentation re- 
garding the use of mechanical restraint 
or seclusion in the client record to in- 
clude, but not be limited to: 

(A) a description of the mechanical re- 
straint or seclusion procedures and the 
date and time of its use; 

(B) the rationale for mechanical restraint 
or seclusion which addresses the inade- 
quacy of less restrictive intervention 
techniques; 

(C) a description of the client's behavior 
indicating imminent danger of abuse or 
injury to himself/herself or others, or 
substantial property damage; 

(D) the frequency, intensity, and duration 
of the behavior and any precipitating 
circumstances contributing to the onset 
of the behavior; and 

(E) the signature and title of the em- 
ployee responsible for the use of the 
procedure. 

(d) Mechanical restraint or seclusion shall 
not be employed as retaliatory punishment or 
for the convenience of staff or used in a man- 
ner that causes harm or undue physical dis- 
comfort or pain to a client. When mechanical 
restraint or seclusion is used as a part of a be- 
havior modification program, positive alterna- 
tives shall always accompany these procedures. 

(e) Any room used for seclusion shall meet 
the following criteria: 

(1) The room shall be designed and con- 
structed to ensure the health, safety and 
well-being of the client. 

(2) The floor space shall not be less than 
60 square feet, with a ceiling height of 
not less than eight feet. 

(3) Floor and wall coverings, as well as any 
contents of the room, shall have a one- 



hour fire rating and shall not produce 
toxic fumes if burned. 

(4) The walls shall be kept completely free 
of objects. 

(5) A lighting fixture, equipped with a mi- 
nimum of a 75 watt bulb, shall be 
mounted in the ceiling and be screened 
to prevent tampering by the client. 

(6) One door of the room shall be equipped 
with a window mounted in a manner 
which allows inspection of the entire 
room. Glass in any windows shall be 
impact-resistant and shatterproof. 

(7) The room shall be adequately ventilated 
either by natural or mechanical means. 

(8) The room temperature shall be com- 
patible with the rest of the facility. 

(9) In a room where the door is not under 
direct observation by staff and if a staff 
person is not assigned to continuously 
observe the area during the duration of 
the confinement, the lock on the room 
shall be interlocked with the fire alarm 
system so that the door automatically 
unlocks when the fire alarm is activated. 

(f) A staff member determined qualified to 
administer mechanical restraint and seclusion 
may employ such procedures for periods up to 
one hour without the order of a physician. 

(g) In order to continue the use of mechan- 
ical restraint or seclusion for longer than one 
hour, a physician shall be consulted. The 
physician shall conduct a clinical assessment 
of the client in order to ascertain that the pro- 
cedure is justified. If the physician concurs 
that mechanical restraint or seclusion is needed 
for longer than one hour, he shall write an or- 
der to continue the procedure. The physician's 
order shall be written within 12 hours from the 
time of initial employment of the procedure. 

(h) If a physician is not immediately avail- 
able to the facility, a qualified professional, 
who has experience and training in the use of 
mechanical restraints and seclusion and who 
has been deemed qualified to employ such 
procedures, shall be consulted as an interim 
measure. The qualified professional shall ob- 
serve and assess the client before ordering 
continued use of mechanical restraint or seclu- 
sion. If it is not possible for the qualified 
professional to assess the client prior to issuing 
the order, he/she shall observe and assess the 
client within one hour after ordering contin- 
uation of the procedure. The order written by 
the qualified professional shall be considered a 
temporary order which is valid only until a 
physician conducts an assessment and writes 



NORTH CAROLINA REGISTER 



995 



PROPOSED RULES 



an order. However, the qualified professional's 
order is valid for no more than 12 hours. 

(i) Whenever mechanical restraint or seclu- 
sion is ordered, the following requirements 
shall be met: 

( 1 ) The order shall specify the reason(s) for 
restraining and/or secluding the client 
and the estimated amount of time 
needed. 

(2) Written orders shall be time-limited: 

(A) Physician's orders shall not exceed 
24 hours from initial employment of the 
procedure. 

(B) Qualified professional's orders shall 
not exceed 12 hours from initial em- 
ployment of the procedure. 

(3) If the client is unable to gain self-control 
within the time-frame specified in the 
written order, a new order shall be ob- 
tained. 

(4) Standing orders or PRN orders shall not 
be used to authorize the use of me- 
chanical restraint or seclusion. 

(j ) Wliile the client is in mechanical restraint 
or seclusion, the following precautions shall 
be followed: 

( 1 ) Periodic observation of a client shall 
occur at least every 15 minutes, or more 
often as necessary, to assure the safety 
and physical well-being of the client. 
Appropriate attention shall be paid to 
the provision of regular meals, bathing, 
and the use of the toilet. Such obser- 
vation and attention shall be docu- 
mented in the client record. 

(2) When mechanical restraint is used in the 
absence of seclusion and the client may 
be subject to injury, a staff member 
shall remain present with the client 
continuously. 

(k) The client shall be removed from re- 
straint or seclusion when he/she no longer de- 
monstrates dangerous behavior. In no case 
shall the client remain in mechanical restraint 
or seclusion longer than one hour after gaining 
behavioral control unless the client is asleep 
during regularly scheduled -.leeping hours. 

(1) Reviews and reports on the use of me- 
chanical restraint and seclusion shall be con- 
ducted as follows: 

(1) All uses shall be reported daily to the 
facility director or his her designee. 

(2) The facility director or his her designee 
shall review daily all uses and investi- 
gate unusual or possibly unwarranted 
patterns of utilization. 

(3) Each facility director or his. her designee 
shall maintain a statistical record of the 



use of these procedures which shall be 
available on a monthly basis to the go- 
verning body and to the licensing 
agency, upon request, and shall be re- 
tained by the facility for a minimum of 
24 months. 

Statutory Authority G.S. 122C-26; I22C-51; 
122C-53; I22C-60; 13IE-67; I43B-147. 

.0331 USE OF ISOLATION TIME-OLT 

(a) Isolation time-out may be used in non- 
restrictive facilities. This procedure shall be 
employed only when there is imminent danger 
of abuse or injury to the client or others, when 
substantial property damage is occurring, or 
when isolation time-out is necessary as a mea- 
sure of therapeutic treatment. 

(b) Isolation time-out shall be administered 
only by staff whose credentials, training and 
experience have been examined and deter- 
mined by the governing body to be adequate 
to qualify staff to employ such procedure. 

(c) The governing body shall determine ac- 
ceptable procedures for employing isolation 
time-out. There shall be written policies and 
procedures that govern isolation time-out to 
include the following: 

( 1 ) training of all staff who are authorized 
to use isolation time-out and doc- 
umentation of such training; and 

(2) requirements for documentation re- 
garding the use of isolation time-out in 
the client record to include, but not be 
limited to: 

(A) a description of the isolation time- 
out procedure and the date and time of 
its use; 

(B) the rationale for isolation time-out 
which addresses the inadequacy of less 
restrictive intervention techniques; 

(C) a description of the client's behavior 
indicating imminent danger of abuse of 
injury to himself herself or others, or 
substantial property damage; 

(D| the frequency, intensity, and duration 
of the behavior and any precipitating 
circumstances contributing to the onset 
of the behavior; and 

(E) signature and title of the employee 
responsible for the use of the procedure. 

(d) Isolation time-out shall not be employed 
as a retaliatory punishment or for the conven- 
ience of staff or used in a manner that causes 
harm to a client. When isolation time-out is 
used as part of a behavior modification pro- 
gram, positive alternatives shall always accom- 
pany these procedures. 



996 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



(c) Any room used for isolation time-out 
shall meet the following criteria: 

(1) The room shall be designed and con- 
structed to ensure the health, safety and 
well-being of the client. 

(2) The floor space shall not be less than 
60 square feet, with a ceiling height of 
not less than eight feet. 

(3) Floor and wall coverings, as well as any 
contents of the room, shall have a one- 
hour fire rating and shall not produce 
toxic fumes if burned. 

(4) The walls shall be kept completely free 
of objects. 

(5) A lighting fixture, equipped with a mi- 
nimum of a 75 watt bulb, shall be 
mounted in the ceiling and be screened 
to prevent tampering by the client. 

(6) One door of the room shall be equipped 
with a window mounted in a manner 
which allows inspection of the entire 
room. Glass in any windows shall be 
impact-resistant and shatterproof. 

(7) The room shall be adequately ventilated 
either by natural or mechanical means. 

(8) The room temperature shall be com- 
patible with the rest of the facility. 

(f) A staff member determined qualified to 
administer isolation time-out shall authorize 
each use of isolation time-out, up to two hours 
within any 24 hour period. The qualified 
professional shall observe and assess the client 
before authorizing the use of isolation time- 
out. Each authorization shall be for no more 
than one hour's duration. Whenever a client 
is placed in isolation time-out for more than 
two hours in any 24 hour period, the director 
of the facility or his/her designee shall assess 
the client in order to ascertain that the proce- 
dure is justified. If the facility director or 
his/her designee agrees with the qualified pro- 
fessional, he/she shall be responsible for au- 
thorizing each additional placement in 
isolation time-out during that 24 hour period. 

(g) Whenever isolation time-out is author- 
ized, the following requirements shall be met: 

(1) The authorization shall specify the 
reason(s) for isolation time-out and the 
estimated amount of time needed. 

(2) Authorization shall be time-limited and 
shall not exceed one hour per authori- 
zation, or two hours within any 24 hour 
period. 

(3) If the client is unable to gain self-control 
within the time-frame specified in the 
authorization, the facility director or 
his her designee shall be consulted. 



(h) While the client is in isolation time-out, 
there shall be a staff person in attendance with 
no other immediate responsibility than to 
monitor the client who is placed in isolation 
time-out. There shall be continuous observa- 
tion and verbal interaction with the client. 
Such observations shall be documented in the 
client record. 

(i) The client shall be removed from isolation 
time-out when he/she no longer demonstrates 
dangerous behavior. 

(j) Reviews and reports on the use of iso- 
lation time-out shall be conducted as follows: 

(1) All uses shall be reported daily to the 
facility director or his/her designee. 

(2) The facility director or his/her designee 
shall review daily all uses and investi- 
gate unusual or possibly unwarranted 
patterns of utilization. 

(3) Each facility director or his/her designee 
shall maintain a statistical record of the 
use of this procedure which shall be 
available on a monthly basis to the go- 
verning body. Such records shall be 
retained by the facility for a minimum 
of 24 months. 

Statutory Authority G.S. 122C-26; 122C-5I; 
I22C-53; I22C-60; I3IE-67; 143B-I47. 

.0332 USE OF PROTECTIVE RESTRAINT 

Whenever protective restraint is used, the go- 
verning body shall ensure that: 

(1) the necessity for the protective devices 
has been assessed and the device applied 
by an individual who has been trained and 
clinically privileged in the utilization of 
protective devices; 

(2) the client is frequently observed and 
provided opportunities for such activities 
as toileting and exercise, as needed, but 
no less often than every two hours; 

(3) whenever a client is restrained and subject 
to injury by another client, a staff member 
shall remain present with the client con- 
tinuously; 

(4) observations and interventions shall be 
documented in the client's record; and 

(5) documentation of the utilization of pro- 
tective devices in the client's nursing care 
plan, when applicable, and 
treatment/habilitation plan. 

Statutory Authority G.S. I22C-26; I22C-51; 
122C-53; 122C-60; I31E-67; 143B-147. 

.0333 RESEARCH REVIEW BOARD 



NORTH CAROLINA REGISTER 



997 



PROPOSED RULES 



(a) Each research activity of each facility 
which involves clients in research activities 
shall be reviewed and approved by a research 
review board prior to the initiation of the re- 
search project. The research review board is 
a group comprised of at least five members 
which has the authority to approve, require 
modification, or disapprove proposed research 
projects subject to the approval of the facility 
director. Individuals not directly associated 
with research projects under consideration 
shall comprise a majority of the review board. 
The review board may be established by the 
facility conducting research activities or by an- 
other public or private agency, institution or 
organization. 

(b) Each proposed research project shall be 
presented to a research review board as a writ- 
ten protocol containing the following infor- 
mation: 

( 1 ) identification of project and investigator; 

(2) abstract, containing a short description 
of the project; 

(3) statement of objectives and rationale; 
and 

(4) description of methodology, including 
informed consent if necessary. 

(c) Prior to the initiation of each research 
project, a research review boaid shall conduct 
an initial review of the project; shall state the 
frequency with which it will review the project 
after is has been initiated; and shall hold a re- 
view prior to any major changes being made 
in research procedures. 

(d) Written minutes of each research board's 
meeting shall be maintained and contain doc- 
umentation that risks to subjects were minimal 
and reasonable for the benefits to be accrued; 
that unnecessary intrusion on subjects was 
eliminated; that informed consent was appro- 
priatelv provided for; and that confidentiality 
of subjects was protected. 

Statutory Authority G.S. 122C-26; 122C-52; 
143B-147. 

.0334 SUBJECT PARTICIPATION IN 
RESEARCH PROJECTS 

Informed written consent shall be obtained 
from each subject in a research project, or 
from the legally responsible person if a subject 
is incapable of providing informed written 
consent as follows: 

( 1 ) subjects shall be informed of any poten- 
tial dangers or risks that may exist as a 
result of participation; 

( 2 ) subjects shall be informed as to what 
their participation will entail as related to 



time and effort, future follow-up, contacts 
with other people about them, and alter- 
ations of regular procedures; 

(3) documentation shall be made that the 
participants have been informed of any 
potential dangers that may exist and that 
they understand the conditions of partic- 
ipation; 

(4) each individual participating in a research 
project shall have the right to terminate 
participation at any time without preju- 
dicing the treatment he/she is receiving or 
his/her employment in the agency; and 

(5) a copy of the dated, signed consent form 
shall be kept on file by the facility staff. 

Statutory Authority G.S. 122C-26; I22C-52; 
MSB- 147. 

.0335 MEDICAL EMERGENCIES 

The governing body shall develop and imple- 
ment a written plan to be utilized in medical 
emergencies involving clients. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0336 EMERGENCY INFORMATION 

Each facility shall maintain emergency infor- 
mation for each client which includes the 
name, address and telephone number of the 
person to be contacted in case of sudden illness 
or accident and the name, address and tele- 
phone number of the client's preferred physi- 
cian. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0337 EMERGENCY CARE PERMISSION 

Upon the client's admission, each facility 
shall secure a signed statement from the client 
or legally responsible person granting permis- 
sion to seek emergency care from a hospital 
or physician. 

Statutory Authority G.S. I22C-26; 143B-I47. 

.0338 STAFF TRAINING FOR MEDICAL 
EMERGENCIES 

During hours of operation of each 
treatment.habilitation facility, at least one staff 
member shall be available who is tiained in 
basic first aid, cardio-pulmonary resuscitation, 
seizure management, and the Heimlich ma- 
neuver or other approved Red Cross first aid 
techniques for relieving airway obstruction. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0339 PHYSICIAN RESPONSIBLE FOR 



99 S 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



PROVISION OF MEDICAL SERVICES 

A physician shall have responsibility for the 
provision of medical services associated with 
the mental health, mental retardation and 
substance abuse needs of clients. 

Statutory Authority G.S. I22C-26; I43B-I47. 

.0340 PRIVACY FOR PHYSICAL 
EXAMINATIONS/MEDICAL 
PROCEDURES 

When physical examinations or medical pro- 
cedures are performed, the examination area 
shall afford privacy for the client. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0341 FIRST AID SUPPLIES 

Each facility shall have access to first aid 
supplies. 

Statutory Authority G.S. I22C-26; I43B-147. 

.0342 EDUCATIONAL REQUIREMENTS FOR 
CHILDREN/ADOLESCENTS 

(a) Each facility serving children and adoles- 
cents shall ensure that the public education 
requirements of the N.C. Department of Pub- 
lic Instruction are met for each client. 

(b) Each facility serving children and ado- 
lescents shall develop and implement written 
policies regarding transition of educational 
services between the lead education agency 
(LEA) and the facility. 

(c) Each facility serving children and adoles- 
cents shall be responsible for coordinating each 
child's/adolescent's individual treatment plan 
with his/her individualized education program. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0343 RESPONSIBILITY FOR WATER 
SAFETY 

Each facility which makes water activities 
available shall assure that an individual holding 
a current certificate in life saving from a na- 
tionally recognized recreation program is on 
site and providing direct supervision of water 
activities. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0344 SPECIALIZED THERAPIES 

Medical care, physical therapy, occupational 
therapy, language and communication therapy, 
and nursing care shall be provided by, or under 
the direct supervision of, individuals 
licensed/registered to perform these activities. 



Statutory Authority G.S. 122C-26; 143B-I47. 

.0345 TESTING SERVICES 

Psychological, developmental, educational 
and intelligence testing shall be performed by 
staff or evaluators who are appropriately li- 
censed, certified or trained to utilize the par- 
ticular testing instrument being administered. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0346 LABORATORY POLICIES AND 
PROCEDURES 

The governing body of each facility which 
orders laboratory tests shall develop a written 
policy which specifies the procedures to be 
followed including authorization for, and fol- 
low-up of, these tests. The policy shall specify 
who shall bear the financial responsibility for 
these laboratory procedures. 

Statutory Authority G.S. I22C-26; 1 43 B- 147. 

.0347 LABORATORY ACCREDITATION 

The governing body shall assure that labora- 
tory tests, if ordered, are performed by a labo- 
ratory accredited by at least one recognized 
accrediting agency such as the Joint Commis- 
sion on Accreditation of Hospitals, the U.S. 
Department of Health and Human Services, 
National Institute of Mental Health, or the 
College of American Pathologists. 

.0348 DOCUMENTATION OF LABORATORY 
TESTS 

(a) Each facility shall document in the client 
record the following information regarding 
each laboratory test administered: 

(1) name and date of any laboratory test(s) 
ordered; 

(2) name of physician ordering test; and 

(3) date and time specimen obtained. 

(b) The original copy of the report of labo- 
ratory test results shall be included in the client 
record. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0349 PRESCRIBING OF MEDICATION 

(a) Only a physician or person authorized 
by state law shall be permitted to prescribe le- 
gend drugs. A written evaluation of the cli- 
ent's need for medication shall be made in 
conjunction with the prescription of medica- 
tion. 

(b) A physician or person authorized to 
prescribe legend drugs shall approve in writing 
the use of over-the-counter (non-prescription) 
medication for clients in inpatient psychiatric 



NORTH CAROLINA REGISTER 



999 



PROPOSED RULES 



facilities and for minors and incompetent 
adults in residential facilities. The legally re- 
sponsible person of minors and incompetent 
adults shall approve in writing the use of 
over-the-counter (non-prescription) medica- 
tion in all other facilities. A physician or per- 
son authorized to prescribe legend drugs shall 
approve the use of over-the-counter (non- 
prescription! medication for minors seeking 
treatment without parental consent. 

(c) A physician assistant shall not prescribe 
psychotropic medication unless authorized by 
the N.C. Board of Medical Examiners. 

(d) A nurse practitioner shall not prescribe 
psychotropic medication unless authorized by 
the N.C. Board of Medical Examiners and the 
Board of Nursing. 

(e) Each medication prescribed for a client 
by a physician shall be documented in the cli- 
ent's record and signed by the prescriber. 

(f) The client's drug therapy regimen shall 
be assessed by a physician for appropriateness 
at least every six months. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0350 DISPENSING OF MEDICATION 

(a) Medication shall be dispensed by a 
pharmacist or physician in a properly labeled 
container in accordance with state and federal 
law. Nurse practitioners and physicians' as- 
sistants mav dispense medications in accord- 
ance with 'G.S. 90-18.1, 90-18.2 and rules 
adopted by the North Carolina Board of 
Pharmacy and codified in 21 NCAC 46 .1700. 
However, methadone for take home purposes 
may be supplied to a bonafide client of a me- 
thadone treatment service in a properly labeled 
container by a registered nurse employed by 
the service pursuant to the requirements of 10 
NCAC 45G .0306; SUPPLYING OE ME- 
THADONE IN TREATMENT PRO- 
GRAMS BY RN. 

(b) The medication container shall protect 
medication from light and moisture and shall 
be in a child-proof container. 

(c) The medication container label shall in- 
clude the following: 

( 1) client's name; 

(2) date issued or refilled; 

(3) directions for administration; 

(4) medication name and strength (strength 
optional with methadone); 

(5) name, address and telephone number 
of dispensing site; 

(r>) prescriber's name; 

( 7 ) dispensers or supplier's name; and 



(8) ancillary cautionary labeling (if appro- 
priate). 

Statutory Authority G.S. 90- 18. J; 90-18.2; 
90-68; 90-85.2; I22C-26; 143B-147. 

.0351 ADMINISTRATION OF MFTJICATION 

(a) Prescription medication shall be admin- 
istered only on the written or verbal order of 
an authorized prescriber. 

(b) Over-the-counter (non-prescription) 
medication shall be administered in inpatient 
facilities and to minors and incompetent adults 
in residential facilities only on the written ap- 
proval of a physician or person authorized to 
prescribe legend drugs. 

(c) Over-the-counter (non-prescription) 
medication shall be administered to minors or 
mcompetent adults in all other facilities only 
on the written approval of the legally respon- 
sible person. Over-the-counter (non-prescrip- 
tion) medication shall be administered to a 
minor seeking treatment without parental 
consent only on the written approval of a 
physician. 

(d) Only properly labeled and dispensed 
medication shall be administered. 

(e) Medication shall be administered in in- 
patient facilities only by a physician, physician 
assistant or nurse. In other facilities, medica- 
tion may be administered by, or self-adminis- 
tration supervised by, program staff who have 
received instruction about each medication, 
dosage, time of administration, side effects and 
contraindications from either the facility's 
physician, or his, her designee, or the legally 
responsible person. A list of persons approved 
to administer medication shall be maintained 
by the facility. 

(f) A physician shall approve in writing the 
self- administration of prescription and over- 
the-counter (non-prescription) medication by 
clients in inpatient facilities or minors or in- 
competent adults in residential facilities. A 
minor or the legally responsible person of a 
minor or incompetent client shall obtain phy- 
sician consent in writing for the self-adminis- 
tration of prescription or over-the-counter 
(non-prescription) medication in outpatient, 
day night facilities. The competent adult client 
may self-administer prescription or over-the- 
counter (non-prescription) medication in out- 
patient, day. night or residential facilities. 
Where applicable, clients should receive train- 
ing in the self-administration of medication. 

(g) The administration of medication by staff 
shall be documented in the client record on a 
facilitv-maintained individualized medication 



1000 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



administration record. The medication ad- 
ministration record shall contain documenta- 
tion of doses administered. 

(h) Medication administration errors and 
adverse drug reactions shall be recorded in the 
client record and reported to the prescribing 
physician immediately. 

Statutory Authority G.S. 90-21.5; 

90-171.20(7), (8); 90-177.44; I22C-26; 
143D-I47. 

.0352 STORAGE OF MEDICATION 

(a) In facilities where medication is adminis- 
tered by staff, all medication shall be stored as 
follows: 

( 1) Medication shall be stored under proper 
conditions of sanitation, temperature, 
light, moisture and ventilation. 

(2) Medication shall be stored in a securely- 
locked cabinet except that this shall not 
apply to services provided in private 
homes. 

(3) Only those persons authorized to pre- 
scribe or administer medication shall 
have access to stored medication. 

(4) Medication for external use shall be 
segregated from medication for internal 
use. 

(5) Medication stored in a refrigerator used 
for other purposes shall be kept in a 
separate, securely locked compartment. 

(6) Space for medication storage shall be 
of sufficient si/.e to allow separate stor- 
age of each client's medication and to 
prevent overcrowding. 

(b) In facilities where clients self-medicate, 
all clients shall receive instructions on how to 
properly store medication and be provided se- 
parate space, when appropriate, for the storage 
of medication in a secure manner. 

Statutory- Authority G.S. 122C-26; I43B-147. 

.0353 DISPOSAL Ol MEDICATION 

Medications shall be disposed of in the fol- 
lowing manner: 

(1) Controlled substances. In consultation 
with the facility's providing or consulting 
pharmacist, the facility shall adopt proce- 
dures for the disposal of controlled sub- 
stances consistent with state and federal 
laws. 

(2) Non-controlled substances (prescription 
medication): 

(a) Any facility disposing of prescription 
medication shall do so in a manner that 
guards against diversion and accidental 



ingestion. Acceptable methods of dis- 
posal include the following: 

(i) transfer of medication to a local 
pharmacy or regional psychiatric hos- 
pital pharmacy for destruction; 

(ii) flush into a sewer system; or 

(iii) preferably by incineration, 
(b) A record of medication disposal shall 
be maintained. The record shall in- 
clude the following: 

(i) client's name (if applicable); 

(ii) name and strength of medication; 

(iii) drugstore name and prescription 
number (if applicable); 

(iv) quantity to be disposed; 

(v) method of disposal; 

(vi) date of disposal; 

(vii) signature of employee disposing of 
the medication; and 

(viii) signature of employee witnessing 
the disposal. 

Statutory Authority G.S. 122C-26; 21 C.F.R. 
1307.21'; 143B-147. 

.0354 MEDICATION EDUCATION 

(a) Each client to be started or maintained 
on prescription medication shall receive indi- 
vidual or group education rcgardmg prescribed 
medication. 

(b) The physician or his designee shall assess 
each client's ability to self-administer medica- 
tion as well as other factors that may affect 
drug therapy. In instances where the ability 
of the client to understand the medication ed- 
ucation is questionable, a responsible person 
shall be provided with the opportunity to re- 
ceive both written and oral instructions on be- 
half of the client. 

(c) The prescribing physician or other person 
approved by the physician shall provide the 
following written and oral information to the 
client or responsible person at a time deemed 
appropriate by the physician: 

(1) the name, appearance and dosage regi- 
men, intended use and common side 
effects of the medication; 

(2) adverse reactions or uncomfortable side 
effects that should prompt calling a 
physician; 

(3) food, drugs or beverages that should be 
avoided/taken with medication; 

(4) an alternative dosage regimen if a dose 
is missed; 

(5) the expected length of the medication 
treatment; 

(6) refill instructions; 



NORTH CAROLINA REGISTER 



1001 



PROPOSED RULES 



(7) the proper place to store medication: 
and 

(8) the need to communicate and coordi- 
nate with other physicians of the client 
regarding prescription medications. 

(d) The medication education assessment 
and information provided shall be individual- 
ized for each client and documented in the cli- 
ent record. 

(e) Medication education shall be coordi- 
nated with the discharging or receiving pro- 
gram. 

Statutory Authority G.S. 122C-26; 130A-361; 
I43B-147. 

.0355 COMPLIANCE WITH N.C. 

CONTROLLED SUBSTANCES ACT 

Each facility that maintains stocks of con- 
trolled substances shall be currently registered 
under the North Carolina Controlled Sub- 
stances Act and shall be in compliance with 
Chapter 90 of the North Carolina General 
Statutes Article 5, N.C. CSA. These rules are 
available free of charge from DMII MR SAS. 



Statuton' Authority 
143B-147. 



G.S. 90-101; 122C-26; 



.0356 FOOD SERVICE MENUS 

Each facility which serves or makes available 
meals for clients shall: 

(1) comply with the recommended Dietary 
.Allowance of the Eood and Nutrition 
Board of the National Academy of Sci- 
ences 9th rev. ed. 1980 available at a cost 
of six dollars ($6.00) from the Office of 
Publications. National Academy Press. 
2101 Constitution Avenue N.W., Wash- 
ington, D.C. 20418: and 

(2) provide food in keeping with general 
cultural, ethnic and life-style patterns of 
the clients served. 



Statutory Authority 
I43B-147. 



G.S. 122C-26: 130A-361; 



.0357 MODIFIED DIETS 

Each facility which serves or makes available 
meals for clients shall provide modified diets in 
accordance with a physician's prescription and 
with a menu pattern approved by a registered 
dietitian. 

Statuton- Authority G.S. 122C-26: 130A-36I; 
I43B-147. 

.0358 STAFFING FOR FOOD SERVICE 



Each facility which serves or makes available 
more than one meal daily shall designate the 
staff responsible for procurement, preparation 
and serving of meals and for the maintenance 
of equipment and sanitary work space. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0359 FOOD SERVICE EQLIPMENT AND 
SPACE 

Each facility which serves or makes available 
more than one meal daily shall: 

(1) provide equipment and space to store 
food separately from other items; 

(2) provide equipment and space to prepare 
and serve meals including all modified diet 
menu items; and 

(3) designate areas for dining which shall be 
equipped and arranged to meet the needs 
of the population served. 

Statutory Authority G.S. 122C-26: 143B-I47. 

.0360 VOLUNTEER SERVICES 

In facilities where volunteer services are uti- 
lized: 
( 1 ) The objectives and scope of the volunteer 
service shall be clearly stated in writing. 

(2) An orientation program shall be con- 
ducted to familiarize volunteers with the 
facility's goals and services and to provide 
appropriate clinical orientation regarding 
the facility's clients. 

(3) The work of volunteers shall be super- 
vised by appropriate staff of the facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0361 TRANSPORTATION POLICY 

The governing body of each facility providing 
transportation for clients shall develop and 
implement a written transportation policy 
which shall address at least the following: 

(1) eligibility of clients for transportation 
services; 

(2) the means by which the facility shall 
provide transportation; 

(3) procedures to be employed in emergency 
situations occurring during the transpor- 
tation of clients; 

(4) qualifications and training of vehicle dri- 
vers and aides; and 

(5) fees, if any, for transportation. 

Statutory Authority G.S. J22C-20; 143B-I47. 
.0362 LICENSED DRIVER 



1002 



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PROPOSED RULES 



Each driver providing transportation for cli- 
ents shall hold a current license to operate the 
type of vehicle(s) to which he is assigned. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0363 SAFETY PRECAUTIONS 

(a) A seat and a seat belt shall be provided 
for each individual being transported in a ve- 
hicle except that the provision of seat belts 
shall not be required for individuals being 
transported in a bus for which the manufac- 
turing code does not recommend the installa- 
tion of seat belts. 

(b) When physically handicapped individuals 
are transported, the vehicle shall provide secure 
storage for adaptive equipment. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0364 TRANSPORTATION OF MINORS 

(a) I ; ach child six years of age and under 
shall be transported in a child passenger re- 
straint system (car safety seat or seat belts) 
which met applicable federal standards when 
the equipment was manufactured. Children 
three years of age and under shall be trans- 
ported in a car safety seat. 

(b) When four or more preschool children 
are transported in the same vehicle, at least two 
adults shall be present in the vehicle. 

(c) When two or more preschool children 
who require special assistance while boarding 
or riding in a vehicle are transported in the 
same vehicle, there shall be one adult, other 
than the driver, to assist in supervision of the 
children. 

Statutory Authority G.S. 122C-26; 143B-I47. 

SECTION .0400 - PHYSICAL PLANT 

.0401 CURRENTLY LICENSED FACILITIES 

Facilities subject to licensure under G.S. 
122C, Article 2 which are legally operating 
under a current license issued by DPS upon 
the effective date of this Rule shall be in com- 
pliance with all applicable portions of the 
North Carolina State Building Code in effect 
at the time the facility was constructed or last 
renovated. However, if alterations or additions 
are made to a facility, such alterations or addi- 
tions shall be made in compliance with the 
provisions of Rules .0402 and .0403 of this 
Section. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0402 FACILITY CONSTRUCTION/ 



ALTERATIONS/ADDITIONS 

When construction of a new facility is 
planned or when alterations or additions are 
planned for an existing facility, work shall be- 
gin only after consultation with DFS. 

Statutory Authority G.S. 122C-26; I43B-I47. 

.0403 COMPLIANCE WITH BUILDING CODE 
REQUIREMENTS 

(a) As used in this Rule the term "new fa- 
cility" refers to a facility which has not been 
licensed previously and for which an initial li- 
cense is being sought. The term does not refer 
only to a "new" building but will apply to an 
"old" building if the building houses a facility 
for which an initial license is being sought. 

(b) Each new facility specified in (d), (e), (f), 
(g), (h) and (i) of this Rule, with the exception 
of private home respite, alternative family liv- 
ing and apartment models, in supervised inde- 
pendent living, shall be in compliance with the 
current edition of Section 1 IX of Volume I of 
the N.C. State Building Code. 

(c) Each new facility specified in (d), (e), (f), 
(g), (h) and (i) of this Rule, with the exception 
of private home respite, alternative family liv- 
ing and apartment models shall be in compli- 
ance with the current edition of Volume II, III 
and IV of the N.C. State Building Code. 

(d) In addition to Building Code require- 
ments specified in (b) of this Rule, new facili- 
ties specified in (1), (2), and (3) of this 
Paragraph shall meet the requirements of the 
current edition of Volume I-B of the N.C. 
State Building Code as follows: 

(1) Mental retardation/developmental disa- 
bility facilities: 

(A) group homes for individuals with 
mental retardation or other develop- 
mental disabilities and with behavior 
disorders serving five or fewer clients 
who are ambulatory and able to re- 
spond on their own and evacuate the 
facility without assistance; and 

(B) community center-based respite for 
individuals with mental retardation, 
other developmental disabilities, devel- 
opmental delays or at risk for these 
conditions serving five or few : er clients 
who are ambulatory and able to re- 
spond on their own and evacuate the 
facility without assistance. 

(2) Mental health facilities: 

(A) group homes and residential acute 
treatment for adult and elderly individ- 
uals who are mentally ill serving six or 
fewer clients who are ambulatory and 



NORTH CAROLINA REGISTER 



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PROPOSED RULES 



able to respond on their own and evac- 
uate the facility without assistance; and 
(B) residential treatment for children and 
adolescents serving six or fewer clients 
who are ambulatory and able to re- 
spond on their own and evacuate the 
facility without assistance. 
(3) Substance abuse facilities: 

(A) non-hospital medical detoxification 
for individuals who are substance abus- 
ers serving six or fewer clients who are 
ambulatory" and able to respond on 
their own and evacuate the facility 
without assistance; 

(B) social setting detoxification for indi- 
viduals who are alcoholics serving six 
or fewer clients who are ambulatory 
and able to respond on their own and 
evacuate the facility without assistance; 
and 

(C) halfway houses for individuals who 
are substance abusers serving six or 
fewer clients who are ambulatory and 
able to respond on their own and evac- 
uate the facility without assistance. 

(e) In addition to Building Code require- 
ments specified in (b) and (c) of this Rule, new 
facilities specified in ( 1 ) and (2) of this Para- 
graph shall meet the requirements of the cur- 
rent edition of Volume I. Section 510 of the 
N.C. State Building Code as follows: 

( 1 ) Mental retardation developmental disa- 
bility facilities: 

(A) group homes for adults with mental 
retardation or other developmental dis- 
abilities serving more than six residents 
and fewer than ten residents who are 
ambulatory and able to respond on 
their own to emergency conditions; 

(B) group homes for adults with mental 
retardation or other developmental dis- 
abilities serving six or fewer clients of 
whom one. two or three are non-am- 
bulatory or unable to respond on their 
own to emergency conditions; 

(C) group homes for children with men- 
tal retardation or other developmental 
disabilities serving fi\ e or fewer resi- 
dents of whom one, two or three are 
non-ambulatory or unable to respond 
on their own to emergency conditions; 

(D) group homes for individuals with 
mental retardation or other develop- 
mental disabilities and with behavior 
disorders serving five or fewer of whom 
one, two or three are non-ambulatory 
or unable to respond on their own to 
emergency conditions; 



(E) supervised independent living board- 
ing homes for adults with mental retar- 
dation or other developmental 
disabilities serving more than six resi- 
dents and fewer than ten residents who 
are ambulatory and able to respond on 
their own to emergency conditions; 

(F) community center-based respite for 
individuals with mental retardation, 
other developmental disabilities, devel- 
opmental delays or at risk for these 
conditions serving six or fewer clients 
of whom one, two or three are non- 
ambulatory or unable to respond on 
their own to emergency conditions. 

(2) Mental health facilities: residential 
treatment for individuals serving seven 
to nine clients who are ambulatory and 
able to respond on their own and evac- 
uate the facility without assistance, 
(f) In addition to Building Code require- 
ments specified in (b) and (c) of this Rule, new 
facilities specified in (1), (2) and (3) of this 
Paragraph shall meet the requirements of the 
current edition of Volume I, Section 409, In- 
stitutional Occupancy (I) of the N.C. State 
Building Code as follows: 

(1) Mental retardation, developmental disa- 
bility facilities: 

(A) specialized community residential 
sendees for individuals with mental re- 
tardation or other developmental disa- 
bilities; 

(B) group homes for adults with mental 
retardation or other developmental dis- 
abilities serving six or fewer residents of 
whom more than three are non-ambu- 
latory and unable to respond on their 
own to emergency conditions; 

(C) group homes for individuals with 
mental retardation or other develop- 
mental disabilities and with behavior 
disorders with more than three clients 
who are non-ambulatory or unable to 
respond on their own to emergency 
conditions; 

(D) group homes for children with men- 
tal retardation or other developmental 
disabilities with more than three clients 
who are non-ambulatory; and 

(E) community center-based respite for 
individuals with mental retardation, 
other developmental disabilities, devel- 
opmental delays or at risk for these 
conditions serving five or fewer clients 
of whom more than three are non-am- 
bulatory or unable to respond on their 
own to emereencv conditions. 



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NORTH CAROLINA REGISTER 



PROPOSED RULES 



(2) Mental health facilities: 

(A) inpatient psychiatric facilities for in- 
dividuals who are mentally ill; 

(B) residential acute treatment for adult 
and elderly individuals who are men- 
tally ill; and 

(C) residential treatment for children and 
adolescents serving ten or more clients. 

(3) Substance abuse facilities: 

(A) inpatient hospital treatment for indi- 
viduals who are substance abusers; and 

(B) nonhospital medical detoxification 
for individuals who are substance abus- 
ers. 

(g) In addition to Building Code require- 
ments specified in (b) and (c) of this Rule, new- 
facilities specified in (1), (2), (3) and (4) of this 
Paragraph shall meet the requirements of the 
current edition of Volume I, Section 405, Bu- 
siness Occupancy (B) of the N.C. State Build- 
ing Code as follows: 

( 1 ) Mental retardation developmental disa- 
bility facilities: adult developmental ac- 
tivity programs for individuals with 
substantial mental retardation, severe 
physical disabilities or other substantial 
developmental disabilities; 

(2) Mental health facilities: 

(A) psychosocial rehabilitation programs 
for individuals who are chronically 
mentally ill; 

(B) day treatment for children and ado- 
lescents who are emotionally disturbed; 
and 

(C) partial hospitalization programs 
(PHP) for adult and elderly individuals 
who are acutely mentally ill; 

(3) Substance abuse facilities: 

(A) outpatient treatment for individuals 
who are substance abusers; 

(B) outpatient detoxification for individ- 
uals who are substance abusers; and 

(C) outpatient methadone services for 
individuals who are narcotic abusers; 

(4) Facilities serving one or more disability: 

(A) sheltered workshops; and 

(B) day activity facilities for adult and 
elderly individuals who are mentally ill 
and or substance abusers. 

(h) In addition to Building Code require- 
ments specified in (b) and (c) of this Rule, new 
facilities specified in ( 1 ) and (2) of this Para- 
graph shall meet the requirements of the cur- 
rent edition of Volume I, Section 406, 
Educational Occupancy (E) of the N.C. State 
Building Code as follows: 

( 1 ) Mental retardation developmental disa- 
bilitv facilities: before after school and 



summer developmental day services for 
children with mental retardation or 
other developmental disabilities; and 
(2) Mental health facilities: day treatment 
for children and adolescents who are 
emotionally disturbed, 
(i) In addition to Building Code require- 
ments specified in (b) and (c) of this Rule, new 
facilities specified in (1) and (2) of this Para- 
graph shall meet the requirements of the cur- 
rent edition of Volume I, General 
Construction, Section 411, Residential Occu- 
pancy (R) of the N.C. State Building Code as 
follows: 

(1) Substance abuse facilities: 

(A) social setting detoxification for more 
than six individuals who are alcoholics; 

(B) residential treatment rehabilitation 
for more than six individuals who are 
substance abusers; and 

(C) halfway houses for more than six in- 
dividuals who are substance abusers. 

(2) Facilities serving one or more disability: 
residential therapeutic (habilitative) 
camps for children and adolescents. 

(j) Volume I (General Construction) is 
available at a cost often dollars ($10.00); Vol- 
ume I-B (Uniform Residential Building Code) 
at a cost of two dollars ($2.00); Volume II 
(Plumbing) at a cost of three dollars ($3.00); 
Volume III (Heating and Air Conditioning) at 
a cost of four dollars and fifty cents ($4.50); 
and Volume IV (Electrical) at a cost of fifteen 
dollars ($15.00) from the N.C. Department of 
Insurance, P.O. Box 26387, Raleigh, N.C. 
27611. 

(k) This Rule is adopted in accordance with 
the provisions of Subsection (c) of G.S. 
150B-14. 

Statutory Authority G.S. 122C-26; 143B-147; 
1 50 B- 14(c). 

.0404 LOCATION OF FACILITY 

(a) Each facility shall be located on a site 
where: 

(1) fire protection is available; 

(2) safe water supply and acceptable sewage 
and solid waste disposal services are es- 
tablished; 

(3) occupants are not exposed to undue 
hazards and pollutants; and 

(4) local ordinances and zoning laws are 
met. 

(b) The site at which a 24-hour facility is 
located shall have suificient outdoor area to 
permit clients to exercise their right to outdoor 



NORTH CAROLINA REGISTER 



1005 



PROPOSED RULES 



activity in accordance with the provisions of 
G.S. 122C-62. 

(c) Each new residential facility shall be lo- 
cated in a residential (urban or rural) setting. 
Access to schools, shopping sites and recre- 
ational sites shall be considered in selecting the 
location. 

Statutory Authority G.S. 122C-26; 122C-62; 
143B-147. 

.0405 FACILITY DESIGN AND EQUIPMENT 

(a) Each facility shall be planned and 
equipped to provide the services offered, or to 
be offered, to clients in the facility. 

(b) Facilities shall be designed and con- 
structed in a manner that will provide clients 
privacy while bathing, dressing or using toilet 
facilities. 

Statutory Authority G.S. I22C-26; I43B-147. 

.0406 MAINTENANCE OF FACILITIES AND 
GROUNDS 

Each facility and its grounds shall be main- 
tained in a safe, clean, attractive and orderly 
manner and shall be kept free from offensive 
odor. Buildings shall be kept free from insects 
and rodents. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0407 SAFETY PRECAUTIONS/ 
REQl IREMENTS 

(a) Each facility shall have and implement 
specific policies which address usage, mainte- 
nance, supervision of, and safety precautions 
for, special client activity areas. 

(b) Each facility shall be designed, con- 
structed and equipped in a manner that ensures 
the physical safety of clients, staff and visitors. 

(c) Each facility shall be kept free of hazards 
such as warped or damaged floors or floor 
coverings, cracked plaster, broken windows, 
damaged or worn stair treads or loose han- 
drails. 

(d) All hallways, doorways, entrances, 
ramps, steps and corridors shall be kept clear 
and unobstructed at all times. 

(e) All mattresses purchased for existing or 
new facilities shall be fire retardant. 

(f) Electrical, mechanical and water systems 
shall be maintained in operating condition. 

(g) Except for therapeutic (habilitative) 
camps, in each 24-hour facility, heating and air- 
conditioning shall be provided to maintain a 
comfort range between 68 and SO degrees 
Fahrenheit. 



(h) All indoor areas to which clients have 
routine access shall be well-kghted. Lighting 
shall be adequate to permit occupants to 
comfortably engage in normal and appropriate 
daily activities such as reading, writing, work- 
ing, sewing and grooming. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0408 INDOOR SPACE REQUIREMENTS FOR 
RESIDENTIAL FACILITIES 

(a) Except for those mental health, mental 
retardation or other developmental disability 
or substance abuse facilities licensed as of the 
effective date of these Rules, residential facili- 
ties shall meet the following indoor space re- 
quirements: 

(1) Client bedrooms shall have at least 100 
square feet for single occupancy and 80 
square feet per client when more than 
one client occupies the bedroom. 

(2) Where bassinets and portable cribs for 
infants are used, a minimum of 40 
square feet per bassinet or portable crib 
shall be provided. 

(3) Except for specialized community resi- 
dential centers for individuals with 
mental retardation or other develop- 
mental disabilities, no more than two 
clients may share an individual bed- 
room regardless of bedroom size. 

(4) At least one full bathroom for each five 
or fewer persons including staff of the 
facility and their family shall be in- 
cluded in each facility. 

(b) Existing structures already licensed at the 
time of the adoption of these Rules shall satisfy 
the minimum square footage requirements in 
effect at the time of the facility's initial licen- 
sure. 

Statutory Authority G.S. 122C-26; 143B-I47. 

SUBCHAPTER I4L - LICENSURE RULES FOR 
MENTAL HEALTH FACILITIES 

SECTION .0100 - INPATIENT PSYCHIATRIC 

SERMCES FOR INDIYIDUALS WHO ARE 

MENTALLY ILL 

.0101 INTRODLCTION 

(a) Inpatient psychiatric service is an inpa- 
tient service for the mentally ill which provides 
intensive 24-hour per day treatment in a hos- 
pital setting. Supportive nursing and medical 
care are provided under the supervision of a 
psychiatrist. This service is designed to pro- 
vide continuous treatment for individuals with 
acute psychiatric problems. Services may in- 



1006 



ISORTH CAROLINA REGISTER 



PROPOSED RULES 



[ 



elude psychological and medical diagnostic 
procedures; observation; treatment modalities 
including medication, psychotherapy, group 
therapy, occupational therapy, industrial ther- 
apy, vocational rehabilitation, recreation ther- 
apy and milieu treatment; medical care and 
treatment as needed; supportive services in- 
cluding education; and room and board. In- 
patient psychiatric service is the most intensive 
and restrictive type of service for mentally ill 
individuals. 

(b) The service shall be designed to serve 
individuals who require continuous treatment 
for mental illness. Individuals who, in addition 
to mental illness, have other disorders, such as 
mental retardation or substance abuse, shall 
be eligible for admission if primarily in need 
of treatment for mental illness. 

(c) The Rules in this Section apply to free 
standing psychiatric hospitals licensed under 
G.S. 122C, Article 2. 

Statutory Authority G.S. 122C-26; I43B-I47. 

.0102 HOURS OF OPERATION 

Each facility providing inpatient psychiatric 
services shall operate 24 hours per day, seven 
days per week, 12 months per year. 

Statutory Authority G.S. I22C-26; USB- 147. 

.0103 STAFF REQUIRED 

(a) Staff coverage shall include at least one 
of each of the following: psychiatrist, licensed 
practicing psychologist, psychiatric social 
worker and psychiatric nurse. 

(b) Physician coverage and the services of a 
qualified mental health professional shall be 
readily available by telephone or page and able 
to reach the facility within 30 minutes on a 
24-hour per day basis. 

Statutory Authority G.S. I22C-26; I43B-I47. 

.0104 PROFESSIONAL STAFF 
ORGANIZATION 

(a) There shall be an organized professional 
staff that has overall responsibility for the 
quality of care provided. 

(b) There shall be professional staff by-laws 
that require, unless otherwise provided by law, 
that a licensed physician be responsible for di- 
agnosis and all medical care and treatment. 

(c) The professional statf by-laws shall es- 
tablish a process for delineation and reap- 
praisal of clinical privileges. 

(d) The professional staff by-laws shall de- 
scribe the specific role of each discipline re- 



presented on the professional staff or exercising 
clinical privileges. 

(e) The professional by-laws shall specify 
mechanisms for the regular review, evaluation 
and monitoring of professional staff practices. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0105 PLAN FOR SERVICES AND STAFF 
COMPOSITION 

(a) Each facility shall have a written plan 
which clearly delineates the numbers and qua- 
lifications of its personnel as determined by at 
least the following: 

(1) size of the facility; 

(2) characteristics of the client population, 
such as whether children, adolescents, 
adults, elderly; 

(3) clinical characteristics of the client pop- 
ulation; and 

(4) fundamental needs of the clients. 

(b) The facility shall have a sufficient number 
of appropriately qualified clinical, administra- 
tive and support staff to assess and address the 
clinical needs of clients. 

(c) Staff members shall have training and/or 
experience in the provision of care to mentally 
ill individuals in each of the age categories ac- 
cepted for treatment, such as child, adolescent, 
adult, elderly. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0106 STAFF DEVELOPMENT 

Ongoing professional education shall be pro- 
vided to keep the professional staff informed 
of significant clinical and administrative devel- 
opments and skills. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0200 - RESIDENTIAL ACUTE 
TREATMENT FOR ADULT AND ELDERLY 
INDIVIDUALS WHO ARE MENTALLY ILL 

.0201 INTRODUCTION 

(a) A residential acute treatment program for 
adult and elderly individuals who are mentally 
ill is a residential service which provides psy- 
chiatric care and treatment on a 24-hour basis 
in a non-hospital setting for individuals in cri- 
sis who need short-term intensive evaluation, 
and/or treatment intervention or behavioral 
management to stabilize acute/crisis situations. 

(b) This sendee is designed as a time-limited 
alternative to hospitalization for individuals in 
crisis. 

Statutory Authority G.S. I22C-26; 143B-I47. 



NORTH CAROLINA REGISTER 



1007 



PROPOSED RULES 



.0202 HOI RS OF OPERATION 

Services shall be provided 24 hours per day, 
seven days per week, 12 months per year. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0203 STAFF REQl IRED 

(a) Staff supervision shall be provided by a 
qualified mental health professional. 

(b) Staff with training and experience in the 
provision of care to acutely mentally ill persons 
shall be present at all times. 

(c) A physician, preferably a psychiatrist, 
shall be available or on-call on a 24-hour per 
day basis. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0300 - PARTIAL 

HOSPITALIZATION FOR INDIVIDUALS 

WHO ARE ACUTELY MENTALLY ILL 

.0301 INTRODUCTION 

(a) A partial hospitalization program is a 
day night service which provides a broad range 
of intensive therapeutic approaches which may 
include group therapy, individual therapy, oc- 
cupational, activity and recreational therapies, 
training in community living and specific cop- 
ing skills, and medical services as needed pri- 
marily for acutely mentally ill individuals. 
This service may be designed to prevent hos- 
pitalization or to serve as an interim step for 
those leaving a regional hospital. It may also 
be designed to increase the individual's ability 
to relate to others and function appropriately. 
This service provides a medical component in 
a less restrictive setting than a hospital or a re- 
sidential treatment rehabilitation facility. 

fb) Rules contained in this Section apply to 
all partial hospitalization programs with the 
exception of Rules .030S through .0310 of this 
Section which apply only to programs serving 
minors. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0302 HOI RS OF OPERATION 

Each partial hospitalization program shall 
operate for a minimum of four hours per day 
(exclusive of transportation time), five days per 
week. 12 months per year. 

Statutory Authority G.S. J22C-2o; I43B-I47. 
.0303 PROVISION FOR CLASSROOM SPACE 



Each program offering on-site educational 
programming shall have designated space for 
classroom activities. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0304 STAFF REQl IRED: ADLLTS AND 
MINORS 

(a) Staff shall include at least one qualified 
mental health professional. 

(b) Each program serving minors shall have 
a program director who has a minimum of two 
years' experience in child adolescent services 
and who has educational preparation in ad- 
ministration, education, social work, nursing, 
psychology or a related field. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0305 CLIENT/STAFF RATIO: MINORS 

(a) A minimum of two staff members shall 
be present with minor clients at all times and 
a minimum ratio of one staff member to each 
eight or fewer minor clients shall be main- 
tained. 

(b) In the event that only one minor client 
is in the program, only one staff member is 
required to be present. 

Statutory Authority G.S. 122C-26; /43B-J47. 

.0306 ROLE OF PHYSICIAN 

A physician, preferably a psychiatrist, shall 
participate in diagnosis, treatment planning, 
and admission and discharge decisions. 

Statutory Authority G.S. 122C-26; MSB- 147. 

.0307 GROLP THERAPV 

Group therapy shall be provided in each 
program by a qualified mental health profes- 
sional. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0308 TRAINING OF STAFF: PROGRAMS 
SERVING MINORS 

(a) Each program serving minors shall pro- 
vide or secure preservice training for all staff. 

(b) Each direct care staff assigned to the 
program shall be trained to manage the clients 
individually and as a group. 

Statutory Authority G.S. 122G-26; 143B-147. 

.0309 ROLE OF PARENTS/LEGALLY 
RESPONSIBLE PERSON 

(a) Parents or the legally responsible person 
shall have the opportunity to participate in the 



1008 



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PROPOSED RULES 



development and implementation of the cli- 
ent's individual treatment plan. 

(b) A report shall be given to parents or the 
legally responsible person when feasible at least 
every three months. Reports may be in writ- 
ing or take the form of a conference and shall 
focus on the client's progress. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0310 SCHEDULE OF DAILY ACTIVITIES: 
PROGRAMS SERVING MINORS 

Fach program serving minors shall have a 
written schedule of daily activities posted in a 
place accessible to patients and staff. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0400 - PSYCHOSOCIAL 

REHABILITATION PROGRAMS FOR 

INDIVIDUALS WHO ARK CHRONICALLY 

MENTALLY ILL 

.0401 INTRODUCTION 

A psychosocial rehabilitation program is a 
day/night service which provides skill develop- 
ment activities, educational services, and pre- 
vocational training and transitional 
employment services to individuals. Each 
program is preferably organized around a sep- 
arate and distinct community-based facility. 
Services are designed primarily to serve indi- 
viduals who have impaired role functioning 
that adversely affects at least two of the fol- 
lowing: employment, management of financial 
affairs, ability to procure needed public sup- 
port services, appropriateness of social behav- 
ior, or activities of daily living. Assistance is 
also provided to members in organizing and 
developing their strengths and in establishing 
peer groups and community relationships. 

Statutory Authority G.S. 122C-26; MSB- 1 47. 

.0402 HOLRS OF OPERATION 

Each facility shall operate for a minimum of 
five hours per day, five days per week, (exclu- 
sive of transportation time), 12 months per 
year. 

Statutoiy Authority G.S. I22C-26; I43B-147. 

.0403 STAFF REQUIRED 

(a) Each facility shall have a designated pro- 
gram director. 

(b) A minimum of one staff member to each 
eight or fewer clients in average attendance 
shall be maintained. 



Statutory Authority G.S. 122C-26; 1 43 B- 1 47. 

.0404 SKILLS DEVELOPMENT 

Each facility shall provide skills development 
activities which include: 

(1) community living, such as housekeeping, 
shopping, cooking, use of transportation 
facilities, money management; 

(2) personal care such as health care, medi- 
cation management, grooming; 

(3) social relationships; and 

(4) use of leisure time. 

Statutoiy Authority G.S. I22C-26; 143B-147. 

.0405 EDUCATIONAL SERVICES 

(a) Each facility shall assist clients in securing 
needed education services such as adult basic 
education and special interest courses. 

(b) Each facility offering on-site educational 
programming shall have designated space for 
classroom activities. 

Statutoiy Authority G.S. 122C-26; 143B-I47. 

.0406 PREVOCATIONAL SERVICES 

Each facility shall provide or secure prevoca- 
tional services which focus on the development 
of positive work habits and participation in 
work activities. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0407 EMPLOYMENT SERVICES 

(a) Each facility shall provide or secure 
transitional or supported employment services 
to facilitate client entry into competitive em- 
ployment. 

(b) When supported employment services 
are provided, the following requirements shall 
be met: 

(1) Each client shall be one for whom 
competitive employment has not tradi- 
tionally occurred or has been inter- 
rupted or intermittent as a result of 
severe mental illness. 

(2) Each client shall be employed in an in- 
tegrated work setting for twenty or 
more hours per week. 

(3) Supported employment may be pro- 
vided through: 

(A) work stations for a group of eight or 
fewer workers trained and supervised in 
an industry or business; 

(B) job coaching and supervision of in- 
dividuals in an industry or business; 

(C) mobile crew service jobs by a group 
of eialit or fewer workers in the com- 



NORTH CAROLINA REGISTER 



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PROPOSED RULES 



munity under the training and super- 
vision of a crew leader; and 
(D) small business enterprises operated 
with eight or fewer workers with train- 
ing and supervision provided on site, 
(c) When transitional employment services 
are provided, the following requirements shall 
be met: 

(1) There shall be contract(s) between the 
facility and employer for specific job(s) 
and the job(s) shall first be performed 
by a facility staff member to determine 
the technical requirements of the job(s). 

(2) The selection of clients to fill 
placement(s) is the responsibility of the 
facility and individual clients. 

(3) Each client participating in transitional 
employment shall be evaluated at the 
end of six months to determine the ap- 
propriateness of continuing to receive 
transitional employment services. 

(d| Wages shall be paid in accordance with 
the hair Labor Standards Act for all clients 
receiving supported employment and transi- 
tional employment services. 

Statutory Authority G.S. 122C-26; I43B-147. 

SECTION .0500 - GROUP HOMES EOR 

ADULT AND ELDERLY INDIVIDUALS WHO 

ARE MENTALLY ILL 

.0501 INTRODUCTION 

(a) Group homes for individuals who are 
mentally ill is a residential service designed to 
provide a home within which staff assistance 
is available to develop community living skills, 
appropriate social behavior, vocational func- 
tioning, leisure time activities and use of com- 
munity resources. These group homes may 
be provided by the following models: 

( 1 ) transitional residence programs provid- 
ing limited to moderate levels of super- 
vision; and 

(2) supervised group homes which provide 
moderate to intensive supervision for 
individuals who need assistance with 
activities of daily living or to develop 
community living skills. 

(b) This service is designed to assist individ- 
uals to progress toward specific sub-goals re- 
lated to their individual treatment plan and is 
designed primarily to serve mentally ill persons 
who are 1 8 or older. 

Statutory Authority G.S. I22C-26; 1 43 B- 1 47. 

.0502 CAPACITY 



Each home shall have a capacity of nine or 
fewer individuals. 

Statutory Authority G.S. I22C-26; I43B-I47. 

.0503 HOURS OK OPERATION 

Each home shall operate 24 hours per day, 
seven days per week, 12 months per year un- 
less all clients are, by choice, out of the pro- 
gram for a 24-hour period or more. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0504 STAFE REQl IRED 

(a) Supervised group homes shall have at 
least one staff member on site at all times when 
clients are present. 

(b) In transitional residence programs, staff 
should not be required to be present at all 
times. 

(c) The governing body shall ensure that 
additional staff is present if needed to meet 
temporary needs of individual clients and to 
protect the health and safety of all clients. 

Statutory Authority G.S. I22C-26; I43B-147. 

.0505 TREATMENT COORDINATION 

(a) Coordination shall be maintained be- 
tween the group home operator and the quali- 
fied mental health professional who is 
responsible for treatment and/or case manage- 
ment. 

(b) Each home shall have a written agree- 
ment documenting: 

(1) access to psychiatric, medical and clin- 
ical consultation and emergency psy- 
chiatric services; and 

(2) the responsibility of the group home 
staff to implement specific portions of 
each individual client's treatment plan. 

Statutory Authority G.S. 122C-26: I43B-I47. 

.0506 PROGRAM ACTIVITIES 

(a) Clients shall participate in the overall 
operation of the residence including partic- 
ipation in routine activities such as mainte- 
nance and meal preparation. 

(b) Each home shall establish a resident 
council that meets on a regularly scheduled 
basis to discuss clients' responsibilities and is- 
sues related to group home activities. 

(c) Clients shall be involved in treatment, 
rehabilitation, vocational, educational, or em- 
ployment activities outside the residential pro- 
gram on a regular basis as specified in clients' 
individual treatment plans. 



1010 



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PROPOSED RULES 



Statutory Authority G.S. 122C-26; 143B-147. 

.0507 LEVELS OF CLIENT SUPERVISION 

(a) Each client of a transitional residence 
program shall have a treatment plan developed 
by a mental health professional which contains 
documentation that the individual needs a res- 
idential service with fewer than 24-hour per 
day supervision and that the intensity of su- 
pervision provided by the program is consist- 
ent with the needs identified in the individual's 
treatment plan. 

(b) Each client of a supervised group home 
shall have a treatment plan developed by a 
qualified mental health professional which do- 
cuments that the intensity of supervision pro- 
vided by the program is consistent with the 
needs identified in the individual's treatment 
plan. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0508 CLIENT TRAINING IN HEALTH AND 
SAFETY 

(a) Each client shall receive training con- 
cerning safe and proper methods of using 
kitchen and housekeeping equipment such as 
knives, range, exhaust fan and other electrical 
appliances. 

(b) Each client shall have access to first aid 
supplies located in each home and shall receive 
training in the use of these supplies. 

(c) Each client shall receive instruction in 
obtaining services in emergency situations. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0600 - RESIDENTIAL TREATMENT 

FOR CHILDREN AND ADOLESCENTS WHO 

ARE MENTALLY ILL 

.0601 INTRODUCTION 

(a) A residential treatment program for chil- 
dren and adolescents is a residential service 
which provides a structured living environment 
for children and adolescents who are primarily 
mentally ill and who may also be multi-handi- 
capped and for whom removal from home is 
essential to facilitate treatment. The service is 
designed to address the functioning level of the 
child/adolescent and includes training in 
language/communication skills, social re- 
lationships, and recreational skills. Some 
children/adolescents may be able to receive 
services in a day treatment program, have a job 
placement, or attend public schools; for others, 
special education services may need to be of- 
fered within the residential setting. Different 



levels of residential treatment programs are 
provided to meet the individual needs of the 
children and adolescents placed in the pro- 
gram. 

(b) If the adolescent has his/her 18th birth- 
day while receiving treatment in a residential 
program, he/she may continue in the program 
for six months or until the end of the state fis- 
cal year, whichever is longer. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0602 STAFF REQUIRED 

Each program shall have a director who has 
a minimum of two years' experience in 
child/adolescent services and who has educa- 
tional preparation in administration, educa- 
tion, social work, nursing, psychology or a 
related field. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0603 CLIENT/STAFF RATIO 

(a) At all times, the following minimum 
child/staff ratios shall be in effect: 

( 1 ) one direct care staff member shall be 
present with each four 
children/adolescents; and 

(2) if children/adolescents are cared for in 
separate buildings, the ratios shall apply 
to each building. 

(b) When two or more clients are in the 
program during waking and sleeping hours, the 
emergency on-call staff shall be readily avail- 
able by telephone or page and able to reach the 
program within 30 minutes. 

(c) When only one child/adolescent is in the 
program, a minimum of one staff member 
shall be on duty during waking and sleeping 
hours. 

Statutory Authority G.s. 122C-26; 143B-147. 

.0604 TRAINING OF STAFF 

(a) Each program shall provide or secure 
pre-service training for all staff. 

(b) Each direct care staff member assigned 
to the program shall be trained to manage the 
children/adolescents individually and as a 
group. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0605 TREATMENT PROGRAM 

Each treatment program shall: 

(1) address the functioning level of the 
child/adolescent and shall include training 
in language/communication skills, fine 



NORTH CAROLINA REGISTER 



1011 



PROPOSED RULES 



and gross motor skills, social relationship 
skills and recreation skills; and 
(2) include treatment and habilitation pro- 
gramming based on client needs. 

Statutory Authority G.S. I22C-26; MSB- 147. 

.0606 EDUCATIONAL PROGRAMS 

(a) Where clinically indicated, children ado- 
lescents shall attend educational programs. 

(b) Staff shall have conferences, at least 
quarterly, with teachers or principals regarding 
each child, adolescent. 

(c) The child's adolescent's entrance into 
different educational programs, or phases of 
programs, shall be considered in terms of the 
timing of changes and the potentially disrup- 
tive effects such changes may have upon the 
child adolescent. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0607 SUMMER PROGRAM 

Staff shall provide or secure day programming 
for children adolescents whose educational 
service does not extend through the summer 
months. 



(b| Both free play and organized outdoor 
recreational activities shall be provided. 

(c i Field trips and community experiences 
shall be coordinated with individual treatment 
plans. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0611 RESIDENTS' PARTICIPATION IN 
HOUSEKEEPING ACTIVITIES 

Children adolescents in the program shall be 
involved in routine maintenance activities as is 
appropriate to their clinical need. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0612 PERSONAL HYGIENE 

Instruction shall be provided in good health 
practices pertaining to personal hygiene and 
grooming. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0613 CLOTHING 

Each child adolescent shall have his her own 
clothing and shall have training and help in its 
selection and care. 



Statutory Authority G.S. 122C-26; 143B-I47. 

.060X ROLE OE PARENTS/LEGALLY 
RESPONSIBLE PERSON 

(a) Parents or the legally responsible person 
shall have the opportunity to participate in the 
development and implementation of the cli- 
ent's individual treatment plan. 

(b) A report shall be given to parents or the 
legally responsible person when feasible at least 
every three months. Reports may be in writ- 
ing or take the form of a conference and shall 
focus on the client's progress. 

Statutory Authority G.S. J22C-26; 143B-147. 

.060*) PSYCHIATRIC/CLINICAL 
CONSULTATION 

(ai Psychiatric consultation shall be available 
on an as needed basis to each client in the 
program. 

(b) Clinical consultation shall be provided 
by a qualified mental health professional to 
each program at least twice a month. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0610 SCHEDULE OF DAILY ACTIVITIES 

(a) Each program shall have a written sche- 
dule ot daily activities posted in a place acces- 
sible to children adolescents and staff. 



Statutory Authority G.S. 122C-26; I43B-147. 

SECTION .0700 - DAY TREATMENT FOR 

CHILDREN AND ADOLESCENTS WHO ARE 

EMOTIONALLY DISTURBED 

.0701 INTRODLCTION 

(a) Day treatment is a day/night service for 
children and adolescents who are emotionally 
disturbed which coordinates educational activ- 
ities and intensive treatment while allowing the 
individual to live at home or in the commu- 
nity. This service is designed to increase ability 
of the child or adolescent to relate to others 
and function appropriately within the com- 
munity while serving as an intervention to 
prevent hospitalization or placement outside 
the home or community. It provides a thera- 
peutic environment as well as other activities 
which may include individual therapy, group 
therapy, recreational therapy, language com- 
munication skills development, social skills 
development, pre-vocational service, voca- 
tional training, service to parents, and individ- 
ual advocacy. The client's educational 
activities may be provided in this program or 
in another educational setting, such as regular 
classes or special education programs within a 
normal school setting. 

(b) If the adolescent has his 18th birthday 
while receiving treatment in a day treatment 



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PROPOSED RULES 



program, he/she may continue in the program 
for six months or until the end of the state fis- 
cal year, whichever is longer. If an older client 
presents with needs developmentally charac- 
teristic of this age group, he/she may be con- 
sidered for admission, 
(c) Day treatment programs may include 
before/after school and summer programs, and 
early intervention programs. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0702 EXCLUSIONS FROM LICENSURE 

A day treatment service shall be subject to li- 
censure under G.S. 122C, Article 2, unless ex- 
cluded from licensure thereunder. 



Statutory Authority 
J 43 B- 1 47. 



G.S. I22C-22; 122C-26; 



.0703 INDOOR ACTIVITY SPACE 

The facility shall have indoor activity space. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0704 OUTDOOR ACTIVITY SPACE 

Outdoor activity space shall be provided. 
The outdoor space shall either be enclosed or 
offer protection through natural barriers or 
distance from potential dangerous conditions 
or situations. 

Statutory Authority G.S. I22C-26; I43B-I47. 

.0705 STAFF REQUIRED 

Each program shall have a program director 
who has a minimum of two years' experience 
in child/adolescent services and who has edu- 
cational preparation in administration, educa- 
tion, social work, nursing, psychology or a 
related field. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0706 CLIENT/STAFF RATIO 

(a) A minimum of two staff members shall 
be present with clients at all times except on 
occasions when only one client is in the pro- 
gram in which case only one staff member is 
required to be present. 

(b) A minimum ratio of one staff member 
to each eight clients shall be maintained at all 
times. 

Statutory) Authority G.S. I22C-26; 143B-147. 

.0707 TRAINING OF STAFF 

(a) Each program shall provide or secure 
pre-service training for all staff. 



(b) Each direct care staff assigned to the 
program shall be trained to manage the clients 
individually and as a group. 

Statutory Authority G.S. I22C-26; I43B-I47. 

.0708 TREATMENT PROGRAM 

I ach program shall address the functioning 
level of the client and shall include at least 
training in language/communication skills, fine 
and gross motor skills, social relationship skills 
and recreational skills. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0709 EDUCATIONAL PLACEMENT 

The responsible local education agency shall 
approve the placement if the program is a de- 
signated educational placement of school age 
clients. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0710 ROLE OF PARENTS/LEGALLY 
RESPONSIBLE PERSON 

(a) Parents or the legally responsible person 
shall have the opportunity to participate in the 
development and implementation of the cli- 
ent's individual treatment plan. 

(b) A report shall be given to parents or the 
legally responsible person when feasible at least 
every three months. Reports may be in writ- 
ing or take the form of a conference and shall 
focus on the client's progress. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0711 PSYCHIATRIC CONSULTATION 

Psychiatric consultation shall be available on 
an as needed basis to each client. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0712 SCHEDULE OF DAILY ACTIVITIES 

Each program shall have a written schedule 
of daily activities posted in a place accessible 
to clients and staff. 

Statutory Authority G.S. 122C-26; 143B-147. 

SUBCHAPTER 14M - UICENSURE RULES 

FOR MENTAL 

RETARDATION/DEVELOPMENTAL 

DISABILITIES FACILITIES 

SECTION .0100 - SPECIALIZED 

COMMUNITY RESIDENTIAL CENTERS FOR 

INDIVIDUALS WITH MENTAL 

RETARDATION OR OTHER 

DEVELOPMENTAL DISABILITIES 



NORTH CAROLINA REGISTER 



1013 



PROPOSED RULES 



.0101 INTRODUCTION 

A specialized community residential service 
is a residential service which provides care, 
treatment and developmental training for 
mentally retarded or otherwise develop- 
mentally disabled, multi-handicapped individ- 
uals, children or adults, over an extended 
period of time. Through integration of med- 
ical sendees and close supervision, it is de- 
signed to assist each individual to attain his her 
highest level of independent living skills while 
receiving care for his her physical needs. This 
service may be certified for Medicaid as an In- 
termediate Care Facility for the Mentallv Re- 
tarded ( I CF MR). 

Statutory Authority G.S. 122C-26; 143B-147. 

.0102 CAPACITY 

Facilities beginning operation subsequent to 
the effective date of these Rules shall be de- 
signed to serve no more than 30 clients at one 
location. 

Statutory Authority G.S. 122C-26; 143B-14? 



.0107 CLIENT/STAFF RATIOS 

(a) During waking hours, the following mi- 
nimum client/staff ratios shall be in effect: 

(1) regardless of the number of clients, a 
minimum of two direct care staff mem- 
bers shall be on duty in the building at 
all times; 

(2) a minimum of one direct care staff 
member shall be on duty for each five 
clients; and' 

(3) if clients are cared for in separate build- 
ings, the ratios shall apply to each 
building. 

(b) During sleeping hours, the following mi- 
nimum client /staff ratios shall be in effect: 

(1) one direct care staff member shall be 
awake and on duty at all times and one 
other staff member shall be on call in 
the building; 

(2) a minimum of one direct care staff 
member shall be on duty for each ten 
clients; and 

(3) if clients are cared for in separate build- 
ings, the ratios shall apply to each 
building. 



.0103 HOURS OF OPERATION 

Each specialized community residential center 
shall operate 24 hours per day, seven days per 
week, 12 months per year. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0104 BEDROOM SPACE 

No more than six infants or children and no 
more than four adults may share an individual 
bedroom regardless of bedroom size. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0105 QUALIFICATIONS OF DIRECTOR 

Each program shall designate a director who 
holds a baccalaureate level degree with spe- 
cialization in administration, education, social 
work, nursing, psychology or a related field or 
who has comparable experience and education. 

Statutory Authority G.S. 122C-26; MSB- 147. 

.0106 M RS1NG STAFF 

(a) At least one registered nurse or person 
certified as a licensed practical nurse shall be 
in the immediate area at all times. 

(b) Each program shall have access to the 
services of at least one registered nurse. 

Statutory Authority G.S. J22C-2(>; I43B-J47. 



Statutory Authority G.S. I22C-26; 143B-147. 

.0108 MEDICAL CARE 

Medical care shall be available on a 24-hour 
basis for each client. Such care shall be pro- 
vided by a program-designated physician or by 
the client's private physician. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0109 PERSONAL CARE 

(a) Each client's personal hygiene needs shall 
be met daily. 

(b) Toilet articles shall be made available to 
each client. 

(c) Each client shall have a complete change 
of personal clothing at least daily. 

Statutory Authority G.S. 122C-26; 143B-147. 

.01 10 DAILY TRAINING ACTIVITIES 

(a) Daily training activities shall be scheduled 
to meet the developmental needs of each client. 

(b) Activities shall take into consideration 
the length of time each client should be sche- 
duled for needed rest periods, his her need for 
individual attention, and special limitation of 
activities and diets. 

(c) Both free play and organized recreational 
activities shall be provided as appropriate to 
individual needs. 



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iXORTH CAROLINA REGISTER 



PROPOSED RULES 



(d) Held trips and community experiences 
shall be provided for individual clients. 

(e) Daily routines common to non-handi- 
capped clients shall he followed. 

(f) Daily outdoor activities shall be planned 
in acceptable weather when appropriate to the 
health and physical needs of the client. 

(g) When adults are served, vocational ser- 
vices shall be provided unless there is doc- 
umentation of medical contraindication. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0111 MEDICAL STATEMENT 

(a) Fach staff member who works directly 
and on a regularly scheduled basis with clients 
shall submit a medical statement from a li- 
censed physician or an authorized health pro- 
fessional under the supervision of a physician 
to the program at the time of initial approval 
and annually thereafter. 

(b) The medical statement shall be in any 
written form but shall indicate the general 
physical and mental health of the individual 
and the lack of evidence of active tuberculosis 
and/or other communicable diseases. 

(c) The program shall keep the most recent 
medical statement on file. 

Statutory Authority G.S. 122C-26; I43B-147. 



ans as visits to the facility and the child's visits 
with the parent(s) or the legally responsible 
person outside the facility. 

(e) Reports to parent(s) or the legally re- 
sponsible person shall be submitted at least 
annually. Reports may be in writing or take 
the form of a conference and shall focus on the 
child's progress toward meeting individual 
goals. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0200 - GROUP HOMES FOR 

INDIVIDUALS WITH MENTAL 

RETARDATION OR OTHER 

DEVELOPMENTAL DISABILITIES AND 
WITH BEHAVIOR DISORDERS 

.0201 INTRODUCTION 

Group homes for individuals with mental re- 
tardation or other developmental disabilities 
and behavior disorders is a residential service 
which provides intensive behavioral treatment 
in a homelike environment. This program is 
designed to ameliorate the specific behavior 
problem which is preventing the individual's 
integration into habilitative programs in the 
individual's home community. This service 
may be certified for Medicaid as an Intermedi- 
ate Care Facility for the Mentally Retarded 
(ICF/MR). 



.0112 PROVISION I OR INTERDISCIPLINARY 
SERVICES 

Interdisciplinary services, including medical, 
nursing, dental, social work, physical therapy, 
language communication therapy, education 
and psychology, shall be available to the facil- 
ity. 

Statutory Authority G.S. 122C-26; MSB- 147. 

.0113 PARTICIPATION OF THE FAMILY OR 
LEGALLY RESPONSIBLE PERSON 

(a) Facility staff shall help the family or le- 
gally responsible person in understanding 
mental retardation and other developmental 
disabilities, their child's development, and the 
extent of the child's handicap. 

(b) Individual goal plans shall be developed 
jointly between the facility staff and the child's 
parent(s) or legally responsible person when 
feasible. 

(c) Family members or the legally responsi- 
ble person shall be provided with the oppor- 
tunity to participate m training seminars. 

(d) Families or the legally responsible person 
shall be encouraged to maintain an ongoing 
relationship with their child through such me- 



Statutory Authority G.S. 122C-26; 143B-147. 

.0202 CAPACITY 

(a) The home shall serve a maximum of five 
clients. 

(b) No home shall designate any bed for the 
continuous provision of respite services. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0203 HOURS OF OPERATION 

Fach group home shall operate 24 hours per 
day, seven days per week, 12 months per year. 

Statutory Authority G.S. I22C-26; I43B-147. 

.0204 STAFF REQUIRED 

(a) The home shall have a designated pro- 
gram director/coordinator. 

(b) At least one staff member, in addition to 
the director, shall have received training in the 
area of behavior modification through educa- 
tional preparation in special education, psy- 
chology or a closely related field. 

(c) Written policies and procedures for utili- 
zation of relief staff shall be developed and 
implemented. 



NORTH CAROLINA REGISTER 



1015 



PROPOSED RULES 



(d) Staff shall be employed to implement 
habilitative programming, ineluding provisions 
for accompanying clients on visits to their 
home communities, and to conduct routine 
cooking, cleaning and maintenance of the 
home. 

(e) The home shall provide or secure support 
services of professionals as documented in each 
individual goal plan. 

Statutory Authority G.S. 122C-26; 1 43 B- 147 

.0205 CLIENT/STAFF RATIOS 

(a) When there are two or more clients in the 
home, a minimum of two staff members shall 
be on duty at all times. 

(b) On occasions when only one client is in 
the home, a minimum of one staff member 
shall be on duty. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0206 DAY SERVICES 

Day services outside the home, such as edu- 
cational and vocational training, shall be se- 
cured for each client as specified in the 
individual goal plan. 

Statutory Authority G.S. I22C-26; I43B-147. 

.0207 MEDICAL STATEMENT 

(a) Each staff member who works directly 
and on a regularly scheduled basis with clients 
shall submit a medical statement from a li- 
censed physician or an authorized health pro- 
fessional under the supervision of a physician 
to the program at the time of initial approval 
and annually thereafter. 

(b) The medical statement shall be in any 
written form but shall indicate the general 
physical and mental health of the individual 
and the lack of evidence of active tuberculosis 
and or other communicable diseases. 

(c) The program shall keep the most recent 
medical statement on file. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0208 BEHAVIORAL PROGRAMMING 

The primary emphasis in goal planning shall 
be on the elimination of the specific problem 
behaviors which precipitated the admission to 
the group home. Other developmental and 
habilitative goals shall also be addressed during 
the client's stay at the group home. 

Statutory Authority G.S. 122C-26; 143B-I47. 



.0209 COMMUNITY RESOLRCES 

In accordance with each client's individual 
program plan, community resources shall be 
utilized for each client including recreational, 
medical, dental and religious resources. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0210 PARTICIPATION OF THE FAMILY OR 
LEGALLY RESPONSIBLE PERSON 

Each group home shall make efforts to in- 
volve the family or legally responsible person 
of each client in the planning and implemen- 
tation of his individual goal plan. 

Statutory Authority G.S. I22C-26; I43B-147. 

SECTION .0300 - GROLP HOMES FOR 

ADULTS WITH MENTAL RETARDATION OR 

OTHER DEVELOPMENTAL DISABILITIES 

.0301 INTRODUCTION 

Group homes for adults with mental retarda- 
tion or other developmental disabilities is a re- 
sidential service which provides a normalized 
home environment in which to incorporate 
developmental training and habilitative pro- 
gramming. This program is designed to pro- 
mote independence of the residents in order for 
them to live in a community-based setting. 
Although group home residents may possess 
basic self-help, socialization and other com- 
munity living skills, they have not achieved the 
degree of independence in these skill areas re- 
quired for the supervised independent living 
models such as a boarding home or apartment 
living. Therefore, a group home is a more re- 
strictive type of service than an apartment liv- 
ing program. This service may be certified for 
Medicaid as an Intermediate Care Facility for 
the Mentally Retarded (ICF MR). 

Statutory Authority G.S. 122C-26; 143B-147. 

.0302 CAPACITY 

The home shall have a capacity of nine or 
fewer clients. 

Statutory Authority G.S. J22C-26: 143B-147. 

.0303 COMPLIANCE WITH GROLP HOME 
STANDARDS 

(a) The standards for private group homes 
for developmental!}" disabled adults as defined 
in the manual titled "Minimum and Desired 
Standards and Regulations for Group Homes 
for Developmental^ Disabled Adults" (10 
NCAC 42B .0900 -' .2300) published by the 
N.C. Department of Human Resources shall 



1016 



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PROPOSED RULES 



also apply to area operated group homes op- 
crated bv a public agency except for Sections 
.1000, .2200 and .2300 of Subchapter 10 
NCAC 42B and with the exception outlined in 
(b) of this Rule. This publication is available 
free of charge from the N.C. Department of 
Human Resources. Division of Social Services, 
325 N. Salisburv Street, Raleieh. N.C. 27611. 
(b) The provision in 10 NCAC 42C .2401 
(which is cross-referenced in 10 NCAC 42B 
.1701) that prohibits the admission of people 
"with disease in a communicable stage or car- 
rier state" shall not prohibit the admission of 
residents who are hepatitis B carriers to a 
home operated by a public agency if the home 
is in compliance with the Rules codified in 10 
NCAC 1811 .0107 through .0115; HEPATI- 
TIS B SCREENING AND VACCINATION 
Ol RESIDENTS AND DIRECT CARE 
EMPLOYEES IN GROUP HOMES FOR 
MENTALLY RETARDED ADULTS. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0304 MEDICAL STATEMENT 

(a) Each staff member who works directly 
and on a regularly scheduled basis with clients 
shall submit a medical statement from a li- 
censed physician or an authorized health pro- 
fessional under the supervision of a physician 
to the program at the time of Initial approval 
and annually thereafter. 

(b) The medical statement shall be in any 
written form but shall indicate the general 
physical and mental health of the individual 
and the lack of evidence of active tuberculosis 
and/or other communicable diseases. 

(c) The program shall keep the most recent 
medical statement on file. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0400 - GROUP HOMES FOR 

CHILDREN WITH MENTAL RETARDATION 

OR OTHER DEVELOPMENTAL 

DISABILITIES 

.0401 INTRODUCTION 

Group homes for children with mental retar- 
dation or other developmental disabilities is a 
residential service which provides a normalized 
home environment for children who are not 
living with their families. This program is de- 
signed to assist each child in residence to attain 
his highest level of independent living skills 
through developmental training integrated with 
family and community activities to prepare the 
child for residence with his own family or other 
less restrictive environment. 



Statutory Authority G.S. I22C-26; I43B-I47. 

.0402 CAPACITY 

(a) The home shall serve no more than five 
children at any one time. 

(b) No home shall designate any bed for the 
continuous provision of respite services. 

Statutory Authority G.S. 122C-26; /43B-J47. 

.0403 HOURS OF OPERATION 

Each group home shall operate 24 hours per 
day, seven days per week, 12 months per year. 

Statutory Authority G.S. 122C-26; I43B-I47. 

.0404 STAFF REQUIRED 

(a) The home shall have a designated pro- 
gram director coordinator. 

(b) A minimum of one staff member shall 
have educational preparation in at least one of 
the following areas: special education, social 
work, psychology, child development, nursing, 
recreational therapy, occupational therapy, or 
language and communication therapy. 

(c) Written policies and procedures for utili- 
zation of relief staff shall be developed and 
implemented. 

(d) The home shall provide or secure the 
services of support professionals as needed in- 
cluding a psychologist, social worker, physi- 
cian, dentist, physical therapist and 
language/communication specialist. 

Statutory Authority G.S. I22C-26; 143B-I47. 

.0405 CHILD/STAFF RATIOS 

(a) During waking hours when children are 
in the home, a minimum of two staff members 
shall be on duty. 

(b) During sleeping hours, a minimum of 
two staff members shall be in the immediate 
area unless emergency backup procedures are 
sufficient to allow only one staff member on 
duty. In such instances, minimum acceptable 
emergency procedures include written agree- 
ments with emergency medical transport ser- 
vices; the availability of on-call emergency 
backup that can arrive at the home within 
twenty minutes; and notification to parcnt(s) 
or legally responsible person that one staff 
member may be on duty during sleeping hours. 

(c) On occasion when only one child is in 
home, a minimum of one staff member shall 
be on duty during waking and sleeping hours. 

Statutory Authority G.S. 122C-26; 143B-I47. 



NORTH CAROLINA REGISTER 



1017 



PROPOSED RULES 



.0406 PERSONAL CARE 

(a) Each child's personal hygiene needs shall 
be met daily. 

(b) Toilet articles shall be made available to 
each child. 

(c) bach child shall have a complete change 
of personal clothing at least daily. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0407 DAILY TRAINING ACTIVITIES 

(a) Staff shall provide daily training activities 
in the home which are designed to meet the 
developmental needs of each child. 

(1) Activities shall take into consideration 
the length of time each child needs rest 
periods, his need for individual atten- 
tion, and special limitations of activities 
and diets. 

(2) Both free play and organized recre- 
ational activities shall be provided. 

(3) Field trips and community experiences 
shall be provided. 

(4) Daily routines common to non-handi- 
capped children shall be followed. 

(b) The staff shall provide or secure day 
programming for children whose educational 
programming does not extend through the 
summer months. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0408 MEDICAL STATEMENT 

(a) Each staff member who works directly 
and on a regularly scheduled basis with clients 
shall submit a medical statement from a li- 
censed physician or an authorized health pro- 
fessional under the supervision of a physician 
to the program at the time of initial approval 
and annually thereafter. 

(b) The medical statement shall be in any 
written form but shall indicate the general 
good physical and mental health of the indi- 
vidual and the lack of evidence of active tu- 
berculosis and or other communicable 
diseases. 

(c) The program shall keep the most recent 
medical statement on file. 

Statutory Authority G.S. I22C-26; I43B-I47. 

.0409 COMMl MTY RESOURCES 

In accordance with each child's individual 
program plan, community resources shall be 
utilized for each client including educational, 
recreational, medical, dental and religious re- 
sources. 



Statutory Authority G.S. I22C-26; I43B-I47. 

.0410 PARTICIPATION OF THE FAMILY OR 
LEGALLY RESPONSIBLE PERSON 

(a) Program staff shall help the family in 
understanding mental retardation and other 
developmental disabilities, the child's develop- 
ment, and the extent of the child's handicap. 

(b) Individual goal plans shall be developed 
jointly between the program staff and the cli- 
ent's parent(s) or legally responsible person 
when feasible. 

(c) Family members shall be provided the 
opportunity to participate in training seminars. 

(d) Families shall be encouraged to maintain 
an ongoing relationship with their child 
through such means as family visits to the 
group home, and the child's visits with the 
parent(s) or legally responsible person outside 
the group home. 

(e) Reports to parents or legally responsible 
person shall be submitted in writing at least 
quarterly, when feasible, with the opportunity- 
extended to parent(s) or legally responsible 
person for participation in at least one confer- 
ence annually. 

Statutory Authority G.S. I22C-26; 143B-147. 

SECTION .0500 - BEFORE/AFTER SCHOOL 

AND SUMMER DEVELOPMENTAL DAY 

SERVICES FOR CHILDREN WITH MENTAL 

RETARDATION OR OTHER 

DEVELOPMENTAL DISABILITIES 

.0501 INTRODUCTION 

(a) Before, after school developmental day 
services for children with mental retardation, 
or other developmental disabilities, are day 
services which provide individual habilitative 
programming and recreational activities for 
school aged children. Services are provided 
preceding and following the school day during 
the months of local school operation and are 
designed to meet developmental needs of the 
children as well as the child care needs of fam- 
ilies. Before after school services may be pro- 
vided as a component of a developmental day 
center which serves preschool children or may 
be provided as a separate component. 

(b) Summer developmental day programs for 
children with mental retardation, or other de- 
velopmental disabilities, are day programs 
which provide individual habilitative program- 
ming and recreational activities in a licensed 
child care center for school-aged children dur- 
ing the summer period when they are not par- 
ticipating in educational activities. This 



1018 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



program is designed to promote continuing 
progress in acquiring developmental skills such 
as self-help, fine and gross motor, language and 
communication, cognitive and social skills, in 
order to facilitate functioning in a less restric- 
tive environment. The program is also de- 
signed to meet child care needs of families. 

(c) The Rules in this Section are applicable 
when: 

( 1) these services are provided as a separate 
free standing component which is not 
in the same facility as a developmental 
day center for preschool children li- 
censed under G.S. Chapter 110, Article 
7; and 

(2) these services are offered for a total of 
four hours per day or less. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0502 HOURS OF OPERATION 

(a) Each before/after school developmental 
day service shall be available for a minimum 
of three hours per day (exclusive of transpor- 
tation time), five days per week, during the 
months of local school operation. 

(b) Each summer developmental day service 
shall be available for a minimum of eight hours 
per day (exclusive of transportation time), five 
days per week, during the weeks in which local 
school operation is closed for summer break. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0503 INDIVIDUAL AND GROUP SPACE 

Space shall be available for small groups and 
individualized training as follows: 

(1) Special interest areas shall be provided to 
enhance the development of individual 
children. 

(2) Space for indoor physical activities shall 
be available for the provision of those ac- 
tivities enhancing gross motor develop- 
ment. 

Statutory Authority G.S. I22C-26; 14311- 147. 

.0504 CLASSROOM AND ACTIVITY SPACE 

(a) A ratio of 50 square feet per child shall 
be available for indoor classroom and activity 
space, exclusive of space occupied by sinks, 
lockers, storage cabinets and other fixed 
equipment. 

(b) Space shall be available for small groups 
and individualized training as follows: 

(1) Special interest areas shall be provided 
to enhance the development of individ- 
ual children. 



(2) Space for indoor physical activities shall 
be available for the provision of those 
activities enhancing gross motor devel- 
opment. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0505 OUTDOOR ACTIVITY SPACE 

Outdoor activity space shall be available in 
the ratio of 200 square feet per child scheduled 
to use the area at any one time. The outdoor 
space shall either be enclosed or offer pro- 
tection through natural barriers or distance 
from potentially dangerous conditions or situ- 
ations. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0506 PROGRAM DIRECTOR 

(a) Each developmental day center shall have 
a designated program director. 

(b) The program director shall hold a bach- 
elor level degree with specialization in admin- 
istration, education, social work, nursing, 
psychology or a related field or have compara- 
ble experience and education. 

Statutory Authority G.S. 122C-26; I43B-I47. 

.0507 AGE OF STAFF 

Each staff member except student trainees 
and supervised volunteers shall be at least 18 
years of age and the director shall be at least 
21 years of age. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0508 STAFF REQUIREMENTS 

(a) Staff shall provide continuous supervision 
of each child. 

(b) A minimum of two staff members shall 
provide direct child care at all times. 

(c) A minimum of one direct care staff 
member shall be on duty for each five children. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0509 PARTICIPATION OF THE FAMILY/ 
LEGALLY RESPONSIBLE PERSON 

The center shall provide or secure opportu- 
nities for parent(s) or the legally responsible 
person to attend individual or group activities. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0510 DAILY TRAINING ACTIVITIES 

(a) Daily training activities designed to meet 
the developmental needs of each child shall be 
scheduled and conducted. 



NORTH CAROLINA REGISTER 



1019 



PROPOSED RULES 



(b) Activities shall be planned around the 
following principles: 

( 1 ) Group and individual activities, related 
to individual goal plans, shall be sched- 
uled daily. 

(2) Field trips and community experiences 
shall be coordinated with the goal plans 
for individual children. 

Statutory Authority G.S. 122C-26; I43B-147. 

.051 1 GROUPING OF CHILDREN 

Grouping of children shall allow for attending 
to the individual needs of each child. The 
following principles shall be observed when 
grouping children: 

(1) the younger the children, the smaller the 
group; 

(2) the more delayed the children, the smaller 
the group; 

(3) the greater the number of physically 
handicapped children, the smaller the 
group; and 

(4) the wider the chronological age group, 
the smaller the group. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0512 MEDICAL STATEMENT 

(a) Each staff member who works directly 
and on a regularly scheduled basis with clients 
shall submit a medical statement from a li- 
censed physician or an authorized health pro- 
fessional under the supervision of a physician 
to the program at the time of initial approval 
and annually thereafter. 

(b) The medical statement shall be in any 
written form but shall indicate the general 
physical and mental health of the individual 
and the lack of evidence of active tuberculosis 
and or other communicable diseases. 

(c) The program shall keep the most recent 
medical statement on file. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0600 - ADULT DEVELOPMENTAL 

ACTIVITY PROGRAMS FOR INDIVIDUALS 

WITH SUBSTANTIAL MENTAL 

RETARDATION: SEN ERE PHYSICAL 

DISABILITIES OR OTHER SUBSTANTIAL 

DEVELOPMENTAL DISABILITIES 

.0601 INTRODUCTION 

(a) An adult developmental activity program 
(ADAP) is a day 'night service which provides 
organized developmental activities for adults 
with substantial mental retardation, severe 
physical disabilities or other substantial devel- 



opmental disabilities to prepare the individual 
to live and work as independently as possible. 
The activities and services of an ADAP are 
designed to adhere to the principles of nor- 
malization and community integration aimed 
at increasing age-appropriate actions, images 
and appearance of the individual. 

(b) An ADAP offers a diverse variety of 
specific services and activities. These include 
personal and community living skill develop- 
ment, adult basic education, training in the 
cognitive, communication and motor skills, 
use of leisure time, vocational evaluation and 
adjustment and work activity training. The 
amount of time devoted to these areas varies 
considerably depending upon the needs of the 
clients served. 

(c) Support services to families and consul- 
tation with other involved agencies may also 
be provided. 

Statutory Authority G.S. J22C-26; 143B-147. 

.0602 COMPLIANCE WITH OTHER RULES 

An adult developmental activity program 
shall be subject to licensure under G.S. 122C, 
Article 2 unless provided by a sheltered work- 
shop subject to the rules of the North Carolina 
Division of Vocational Rehabilitation Services. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0603 HOURS OF OPERATION 

Except for clients participating in supported 
employment, ADAP services shall be available 
for client attendance at least six hours per day 
(exclusive of transportation time), five days per 
week, 12 months per year. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0604 PHYSICAL PLANT REQUIREMENTS 

(a) Each facility shall be inspected annually 
by an outside safety consultant with written 
documentation and follow-up on recommen- 
dations. 

(b) Each facility shall be designed and 
equipped to promote the training and adult 
status of clients. 

(c) Each facility shall eliminate architectural 
barriers which prohibit access to the building 
and use of equipment and facilities. 

(d) Each facility shall provide adequate toilet 
facilities and drinking fountains for clients. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0605 PROVISION FOR CLASSROOM SPACE 



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NORTH CAROLINA REGISTER 



PROPOSED RULES 



Each facility shall have designated space for 
classroom activities. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0606 PROGRAM DIRECTOR 
/COORDINATOR 

(a) Each A DAP shall have a designated 
full-time program director/coordinator. 

(b) The program director coordinator shall 
be at least a high school graduate or equivalent 
with three years of experience in mental retar- 
dation programming, but preferably a college 
degree with at least one year of experience in 
mental retardation programming. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0607 CLIENT/STAFF RATIO 

Each ADAP shall maintain an overall direct 
service ratio of at least one full-time or full- 
time equivalent direct care staff member for 
each ten or fewer clients. 

Statutory Authority G.S. I22C-26; 143B-147 

.0608 CLIEN1 EVALUATOR 

(a) At least one staff member shall be desig- 
nated as a client evaluator. 

(b) The client evaluator shall have a high 
school diploma, but preferably a college de- 
gree, and shall have completed a five day in- 
service training program in the evaluation 
component of a certified ADAP or in another 
training program approved bv the 
DMH/MR/SAS. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0609 ACTIVITIES AND SERVICES 

(a) ADAP activities and services shall be 
designed and implemented with adherence to 
the principles of normalization. 

(b) Community integration activities shall 
be provided in groups of two to three persons 
whenever possible. 

(c) Activities and services shall be aimed at 
increasing age-appropriate actions, images and 
appearance of the clients. 

(d) Activities and services shall be directed 
toward the preparation of substantially hand- 
icapped adults to five as independently as pos- 
sible. 



teach them the principles of accident pre- 
vention and control of specific hazards. The 
program shall include training for clients in 
personal, work and environmental safety. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0611 SAFETY COMMITTEE 

(a) A safety committee comprised of staff 
members and client representatives shall be 
appointed to review accident reports and to 
monitor the ADAP for safety. 

(b) The safety committee shall meet at least 
quarterly. 

(c) Minutes shall be kept of all meetings and 
submitted to the director coordinator with re- 
commendations for needed changes. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0612 BUSINESS PRACTICES 

(a) Supplies, materials or tools, if provided 
by the ADAP, shall be identified as a separate 
amount in the bid price. 

(b) Wages paid to ADAP clients shall be on 
a piece rate or hourly commensurate wage. 

(c) Each client involved in productive work 
shall receive a written statement for each pay 
period which indicates gross pay, hours 
worked and deductions. 

(d) Prices for goods produced in the ADAP 
shall be equal to or exceed the cost of pro- 
duction (including commensurate wages, over- 
head, tools and materials.) 

Statutory Authority G.S. 122C-26; 143B-147. 

.0613 ACCIDENT REPORTING 

A written plan shall be established for the re- 
porting of all accidents that occur during 
ADAP activities, whether or not they give rise 
to injuries requiring medical treatment. The 
accident report shall contain the following in- 
formation: 

( 1) identity of persons involved; 

(2) place of accident; 

(3) time of accident; 

(4) name of responsible supervisor; 

(5) description of the accident; and 

(6) emergency services rendered. 

Statutory Authority G.S. I22C-26; 143B-147. 



Statutory Authority G.S. I22C-26; 143B-147. 

.0610 SAFETY EDUCATIONAL PROGRAM 
Each ADAP shall provide an ongoing educa- 
tional program for staff and clients designed to 



.0614 PROMOTION OF CLIENTS' RIGHTS 

Clients shall be counseled concerning their 
rights and responsibilities as participants in the 
program in such matters as wages, hours, 
workina conditions, social securitv, redress for 



NORTH CAROLINA REGISTER 



1021 



PROPOSED RULES 



injury, and the consequences of their own tor- 
tuous or unethical conduct. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0615 USE OF PUBLIC TRANSPORTATION 
BY CLIENTS 

Clients served by the ADAP shall be encour- 
aged to use public transportation if available. 

Statutory Authority G.S. I22C-26: 143B-I47. 

.0616 SUSPENSIONS AND DISMISSALS 

(a) Each ADAP shall establish written crite- 
ria and procedures for client suspensions and 
dismissals. 

(b) Dismissal shall be the result of a staff 
assessment which shall include, but not be 
limited to, those behavior(s) judged to be 
harmful to self or others. 

(c) Suspensions shall be the result of a staff- 
ing process and shall be for a specified time 
period, with all suspensions reported to the 
referral agency if the agency has maintained an 
active relationship with the client since the 
time of referral. 

Statutory Authority G.S. I22C-26: I43B-147. 

SECTION .0700 - COMMUNITY RESPITE 

SERVICES FOR INDIVIDUALS WITH 

MENTAL RETARDATION: OTHER 

DEVELOPMENTAL DISABILITIES: 

DEVELOPMENTAL DELAYS OR AT RISK 

FOR THESE CONDITIONS 

.0701 INTRODUCTION 

(a) Community respite is a support service 
which provides periodic relief for a family or 
family substitute on a temporary basis. While 
overnight care is available, community respite 
may be provided for periods of less than 24 
hours on a day or evening basis. Respite care 
may be provided by the following models re- 
quiring licensure under the provisions of G.S. 
122C, Article 2: 

(1) Center-based respite is a support service 
in which the individual is served at a 
designated facility which has potential 
for overnight care. While an overnight 
capacity is generally a part of this ser- 
vice, a respite center may provide re- 
spite services to individuals for periods 
of less than 24 hours on a day or even- 
ing basis. 

(2) Private home respite is a support service 
in which the governing body provides 
respite services to individuals in the 



provider's home on an hourly or over- 
night basis directly or by contract, 
(b) Private home respite services are subject 
to licensure under G.S. 122C, Article 2 when 
the private home of a community citizen is 
approved for care for one or two children with 
a developmental disability or two adults with 
a developmental disability for a cumulative 
period of time exceeding 240 hours per calen- 
dar month. When more than two individuals 
are served concurrently for any length of time, 
the services are subject to licensure. 



Statutory Authority G.S. 
122C-26; 143B-147. 



122C-22(a) (8); 



.0702 POPULATION SERVED 

Each respite facility shall be designed to serve 
individuals with mental retardation or other 
developmental disabilities, developmental de- 
lays, atypical development or those at risk for 
these conditions. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0703 PHYSICAL PLANT REQUIREMENTS 

(a) A minimum of one ionized smoke de- 
tector wired into the house current shall be 
installed and centrally located. Additional 
smoke detectors that are not wired into the 
house current shall be checked at least monthly 
by the provider. 

(b) A dry powder or CO(2) type fire extin- 
guisher shall be located in the kitchen and shall 
be checked at least annually by the local fire 
department. Each provider of respite care shall 
receive instruction in its use prior to the initi- 
ation of service. 

Statutory Authority G.S. 122C-26; 1 43 B- 1 47. 

.0704 PROGRAM DIRECTOR 
/COORDINATOR 

(a) Each governing body shall designate a 
program coordinator/director. 

(b) The program director/coordinator shall 
have an educational background in social 
work, education, nursing, psychology or re- 
lated health field; or shall have at least two 
years' experience in human service programs, 
preferably in mental retardation or other de- 
velopmental disabilities. 

Statutory Authority G.S. I22C-26; 143B-I47. 

.0705 ACE OF STAFF MEMBERS 

The program director coordinator shall be at 
least 21 years of aae. All other staff shall be 



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NORTH CAROLINA REGISTER 



PROPOSED RULES 



at least 18 years of age except those who are 
16 or 17 years of age and who are working di- 
rectly under the supervision of an experienced 
employee. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0706 FAMILY SERVICES COORDINATOR 

At least one staff person of the respite service 
shall be designated to assist parent(s) or the 
legally responsible person in making applica- 
tion for respite care, in detailing the service 
delivery plan for each respite episode, and in 
coordinating the activities of the service with 
family life. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0707 PERSONAL CARE 

Other than during short episodes of respite 
(less than 24 hours), activities of daily living 
common to non-handicapped individuals shall 
be followed. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0708 LENGTH OF STAY 

Each governing body shall establish a written 
policy regarding the minimum and maximum 
lengths of service for each respite episode, as 
well as the frequency that individuals may use 
the service. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0709 RESPITE ACTIVITIES 

(a) Activities shall emphasize maturation of 
children and independence of adults, supple- 
menting the services being provided by other 
programs and by parcnt(s) or the legally re- 
sponsible person. 

(b) Activities shall be planned daily and shall 
take into consideration the length of time each 
client should be scheduled for needed rest pe- 
riods, the need for individual attention, and 
special limitations of activities and diet. 

(c) Activities shall be designed to provide 
each client with learning opportunities, recre- 
ation, reinforcement of self-help skills, lan- 
guage skills, socialization, motor coordination 
and methods which have been successful in 
other settings or arc associated with the client's 
family life. 

(d) Toys and leisure materials shall be ac- 
cessible to clients. 

Statutory Authority G.S. 122C-26; 143B-I47. 



.0710 MEDICAL STATEMENT 

(a) Each respite care provider, student intern, 
regular volunteer, substitute staff, or other in- 
dividual who works directly and on a contin- 
uous basis with clients shall submit a medical 
statement from a licensed physician at the time 
of initial approval and annually thereafter. 

(b) The medical statement shall be in any 
written form but shall be signed by the physi- 
cian and indicate the general physical and 
mental health of the individual and the lack of 
evidence of active tuberculosis and communi- 
cable diseases. 

(c) The most recent medical statement shall 
be on file. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.071 1 CENTER-BASED RESPITE: STAFF 
REQUIRED 

(a) During waking hours, when five or fewer 
clients are in the center, a minimum of two 
staff members shall be on duty. If more than 
five clients are being served, a staff/ client ratio 
of 1:5 shall be maintained. 

(b) During sleeping hours, a minimum of 
two staff members shall be available in the 
immediate area unless emergency backup pro- 
cedures are sufficient to allow only one staff 
member on duty. In such instances, minimum 
acceptable emergency procedures include writ- 
ten agreements with emergency medical trans- 
port services; the availability of on-call 
emergency backup that can arrive at the center 
within 20 minutes; and notification to 
parent(s) or the legally responsible person that 
only one staff member may be on duty during 
sleeping hours. 

(c) On occasions when only one client is in 
the center, a minimum of one staff member 
shall be on duty during waking and sleeping 
hours. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0712 CENTER-BASED RESPITE: CLIENT'S 
HEALTH 

(a) Each client shall be observed by staff for 
signs of illness or injury at the beginning of 
each respite episode. 

(b) Each client who becomes ill shall be se- 
parated from other clients until he/she leaves 
the center or until it is determined that he/she 
is free of communicable disease. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0713 PRIVATE HOME RESPITE: PROVIDER 
APPLICATION 



NORTH CAROLINA REGISTER 



1023 



PROPOSED RULES 



Each governing body shall maintain an ap- 
plication for each provider at the facility where 
respite services are provided including the fol- 
lowing: 

( 1 ) full name of each person living in the 
home; 

(2) place, telephone number and hours of 
employment for each individual at the fa- 
cility who will be providing respite care; 

(3) address, directions to, and telephone 
number of residence: 

(4) sleeping arrangements for the respite cli- 
ent: 

( 5) preference of time when respite care can 
be provided; 

(6) age preference of respite clients; and 

(7) whether males and females can be served. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0714 PRIVATE HOME RESPITE: PROVIDER 
TRAINING 

Each facility providing respite care shall have 
at least on adult member who has completed 
the pre-service training program prescribed by 
the governing body. Training may include a 
basic understanding of developmental disabili- 
ties, basic first aid and seizure management. 

Statutory Authority G.S. 122C-26: 143B-147. 

.0715 PRIVATE HOME RESPITE: 

AGREEMENT WITH PROVIDERS 

(a) Each governing body shall have a written 
agreement signed by each provider of private 
home respite care. 

(b) The provisions of the agreement shall 
include: 

(1) the responsibilities of the governing 
body and the provider(s) of respite care; 

(2) confidentiality requirements: 

(3) procedures for securing emergency ser- 
vices; 

(4) program activities to be implemented; 

(5) responsibilities for supervising the re- 
spite client; 

(6) procedures related to administration of 
medications; 

(7) participation in respite training pro- 
grams; and 

(8) terms of compensation. 

(c) A signed copy of the agreement shall be 
maintained by the governing body, and a 
signed copy shall be given to the provider. 

Statutory Authority G.S. /22C-26: 143B-I47. 

.0716 PRIVATE HOME RESPITE: 

RESPONSIBILITIES OE GOVERNING 



BODV 

(a) Each governing body shall attempt to 
match the client's needs with the provider's 
ability to provide respite care. 

(b) A written statement of duties and re- 
sponsibilities during each episode of respite 
care shall be provided to the respite provider: 

(1) This statement shall include length of 
service to be provided, medications to 
be administered, and special dietarv 
considerations. 

(2) If the respite client is involved in a de- 
velopmental or occupational program, 
the respite provider shall be provided 
written information regarding responsi- 
bilities for assuring that the client at- 
tends the program and for structuring 
activities at the respite facility to en- 
hance objectives established by the de- 
velopmental or occupational program. 

(c) The governing body shall provide each 
respite provider with a form for recording ill- 
ness, accident, or medical concern, including 
administration of medication. Following each 
respite episode, this form shall be maintained 
by the governing body in the client's record. 

(d) The governing body shall be responsible 
for a pre-service training program for respite 
providers. Content of training may include a 
basic understanding of mental retardation and 
other developmental disabilities, first aid pro- 
cedures and seizure management. 

(e) At least one approved respite provider 
shall supervise the respite client at all times. 

(f) The respite program director coordinator 
shall review with the provider the plan for 
emergency evacuation of the home prior to 
accepting respite clients. 

(g) Only the respite director coordinator or 
his designee shall arrange respite care between 
the client's family and the respite provider. 

Statutory Authority G.S. J22C-26: 143B-147. 

SUBCHAPTER 14N - LICENSURE RULES 
FOR SUBSTANCE ABUSE FACILITIES 

SECTION .0100 - INPATIENT HOSPITAL 

TREATMENT FOR INDIVIDUALS WHO ARE 

SUBSTANCE ABUSERS 

.0101 INTRODUCTION 

Inpatient hospital treatment is an inpatient 
substance abuse service which provides care, 
treatment and rehabilitation on a continuous, 
short-term basis in an intensive, 24-hour per 
day hospital setting. These programs are gen- 
erally known as "28-day" programs even 
though length of stay is not limited to 2S days. 



1024 



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PROPOSED RULES 



Counseling services are provided with sup- 
portive nursing and medical care and treatment 
by other professionals as needed. If these fa- 
cilities provide detoxification services, they 
shall comply with the applicable rules for de- 
toxification in this Subchapter. Inpatient 
hospital treatment programs include the fol- 
lowing: 

(1) a substance abuse unit within a psychi- 
atric hospital or an attached or free- 
standing substance abuse unit of a 
psychiatric hospital licensed under the 
provisions of G.S. 122C, Article 2; and 

(2) a free-standing hospital specializing in 
substance abuse treatment licensed under 
the provisions of G.S. 122C, Article 2. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0102 HOURS OF OPERATION 

Each program shall operate 24 hours per day, 
seven days per week, 12 months per year. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0103 STAFFING REQUIREMENTS 

(a) The program shall have a designated 
medical director. 

(b) A physician shall be present in the pro- 
gram or on call 24 hours per day. The treat- 
ment of each client shall be under the 
supervision of a physician. 

(c) The staff shall include a minimum of one 
full-time certified alcoholism, drug abuse or 
substance abuse counselor for every ten or 
fewer clients. If the program falls below this 
prescribed ratio and cannot meet the pre- 
scribed ratio by employing a counselor who is 
certified, then it may employ an uncertified 
counselor as long as this individual meets the 
certification requirements within a maximum 
of 24 months from the date of employment. 

(d) At least one registered nurse shall be on 
duty during each shift. 

(e) At least two direct care staff members 
shall be on duty at all times. One direct care 
stall member for each 20 or fewer clients shall 
be on duty at all times in adult programs. In 
facilities that serve minors, a minimum of one 
staff member for each five or fewer minor cli- 
ents shall be on duty during waking houK-> 
when minor clients are present. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0104 STAFF TRAINING 



Each program shall have and implement 
written policies and procedures for staff train- 
ing. Requirements shall include the following. 

( 1 ) Each staff member shall have a training 
needs assessment completed annually and 
documented. 

(2) Each staff member shall have a training 
plan completed annually and documenta- 
tion of all training provided shall include 
the following: 

(a) Each direct care staff member shall re- 
ceive continuing education to include 
understanding of the nature of ad- 
diction, the withdrawal syndrome, 
group therapy, family therapy and other 
treatment methodologies. 

(b) Each direct care staff in a program that 
serves minors shall receive specialized 
training in youth development and 
therapeutic techniques in working with 
youth. 

(c) Each facility shall have at least one staff 
member on duty trained in each of the 
following: 

(i) cardio -pulmonary resuscitation; 

(ii) the Heimlich maneuver or other Red 
Cross first aid techniques for relieving 
airway obstructions; 

(iii) seizure management; 

(iv) basic first aid; 

(v) substance abuse withdrawal symp- 
toms; and 

(vi) symptoms of secondary compli- 
cations to substance abuse. 

(3) Attendance at training activities shall be 
documented for each staff member. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0105 PROGRAM PLAN DESCRIPTION 

Each program shall have written policies and 
procedures which address both minors and 
adults and which specify the following: 

( 1 ) the philosophy of the treatment program; 

(2) a statement of purpose for the program, 
including its goals and objectives; 

(3) a description of the services offered; the 
population served, including age groups 
and other relevant characteristics of the 
patient population; and the methods of 
delivering services (e.g., group therapy, 
didactic presentations, tapes, individual 
counseling); 

(4) a daily schedule of therapeutic activities; 

(5) a description of services offered for the 
family and significant others and how 
these individuals are involved in the treat- 
ment process; and 



NORTH CAROLINA REGISTER 



1025 



PROPOSED RULES 



(6) a description of how clients and family 
members are linked in their home com- 
munities with Alcoholics Anonymous, 
Narcotics Anonymous, Al-Anon and 
other programs and referral sources. 

Statutory Authority G.S. 122C-26: 143B-W. 

.0106 EMERGENCY MEDICAL SERVICES 

Each facility shall have and implement writ- 
ten procedures for handling emergency ser- 
vices. These procedures shall include 
provision for the following: 

( 1 ) immediate access to a physician; 

(2) acute care hospital services; and 

(3) assistance from a local ambulance service, 
rescue squad or other trained medical 
personnel within 20 minutes of the ser- 
vice. 

Statutory Authority G.S. 122C-26: 143B-147. 

.0107 MEDICAL AND PSYCHIATRIC CARE 
AND SERVICES 

Medical and psychiatric care and services 
shall be provided according to the following: 

( 1 ) A physician who has at least two years' 
experience in the treatment of substance 
abuse shall be designated as the medical 
director of the program. 

( 2 ) The medical director shall have the ove- 
rall responsibility for medical services; 
however, medical care and treatment of 
specific clients may be delegated to an- 
other physician on the professional staff 
of the program. 

(3) Medical psychiatric care and services or 
consultation shall be available to each cli- 
ent as needed. 

Statutory Authority G.S. I22C-26; I43B-I47. 

SECTION .0200 - NONHOSPITAL MEDICAL 

DETOXIFICATION FOR INDIVIDUALS WHO 

ARE SUBSTANCE ABUSERS 

.0201 INTRODUCTION 

Nonhospital medical detoxification is a resi- 
dential service which provides medical treat- 
ment and supportive services under the 
supervision of a physician. This service is de- 
signed to withdraw an individual from alcohol 
or other drugs and to prepare him her to enter 
a more extensive treatment and rehabilitation 
program. 

Statutory: Authority G.S. I22C-26; 143B-I47. 



.0202 HOURS OF OPERATION 

Each service shall operate 24 hours per day. 
seven days per week. 12 months per year. 

Statutory Authority G.S. 122C-26; 143B-J4' 7 . 

.0203 STAFF REQUIRED 

(a) A minimum of one direct care staff 
member shall be on duty at all times for every 
rune or fewer clients. 

(b) The treatment of each client shall be 
under the supervision of a physician. 

(c) The services of a certified alcoholism 
counselor, a certified drug abuse counselor or 
a certified substance abuse counselor shall be 
available on an as-needed basis to each client. 

Statutory Authority G.S. J22C-26; 143B-I4' 7 . 

.0204 STAFF TRAINING 

(aj Each facility shall have at least one staff 
member on duty trained in the following areas: 

( 1) monitoring of vital signs; 

(2) basic fust aid; 

(3) cardio-pulmonary resuscitation; 

(4) seizure management; 

f 5 ) the I Ieimkch maneuver or other Red 
Cross first aid techniques for relieving 
airway obstructions; 

(6) substance abuse withdrawal symptoms, 
including delirium tremens; 

(7) medication education and adminis- 
tration; and 

(8) symptoms of secondary complications 
to substance abuse. 

(b) Each direct care staff member shall re- 
ceive continuing education to include under- 
standing of the nature of addiction, the 
withdrawal syndrome, group therapy, family 
therapy and other treatment methodologies. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0205 EMERGENCY MEDICAL SERVICES 

Each facility shall have and implement writ- 
ten procedures for handling medical emergen- 
cies. These procedures shall include provision 
for the following: 

( 1 ) immediate access to a physician: 

(2) acute care hospital services; and 

(3) assistance from a local ambulance service, 
rescue squad or other trained medical 
personnel within 20 minutes of the ser- 
vice. 

Statutory Authority G.S. 122C-26: 143B-147. 
.0206 MONITORING OF CLIENTS 



1026 



XORTH CAROLISA REGISTER 



PROPOSED RULES 



Each service shall have a written policy that 
requires the following: 

(1) procedures for the monitoring of each 
client's general condition and vital signs 
during at least the first 72 hours of the 
detoxification process; and 

(2) procedures for monitoring and recording 
each client's pulse rate. Mood pressure and 
temperature at least every four hours for 
the first 24 hours and at least three times 
daily thereafter. 

Statutory Authority G.S. I22C-26; 143B-I47. 

.0207 REFERRAL TO TREATMENT 
/REHABILITATION PROGRAM 

The service shall refer each client who has 
completed detoxification to an outpatient or 
residential treatment. rehabilitation program. 

Statutory Authority G.S. I22C-26; 143B-147. 

SECTION .0300 - SOCIAL SETTING 

DETOXIFICATION FOR INDIVIDUALS WHO 

ARE ALCOHOLICS 

.0301 INTRODUCTION 

Social setting detoxification is a residential 
service which provides social support and 
other non-medical services to individuals who 
are experiencing physical withdrawal from al- 
cohol. Individuals receiving this service need 
a structured residential setting but are not in 
need of physician services: however, back-up 
physician services are available, if indicated. 
The service is designed to assist individuals in 
the withdrawal process and to prepare them to 
enter a more extensive treatment and rehabili- 
tation program. 

Statutory Authority G.S. 122C-26; USB- 147. 

.0302 HOLRS OF OPERATION 

Each service shall operate 24 hours per day, 
seven days per week, 12 months per year. 

Statutory! Authority G.S. I22C-26; 143B-147. 

.0303 STAFF REQUIRED 

(a) A minimum of one direct care staff 
member shall be on duty at all times for every 
nine or fewer clients. 

fb) The services of a certified alcoholism 
counselor or a certified substance abuse coun- 
selor shall be available on an as-needed basis 
to each client. 

Statutory Authority G.S. 122C-26; 143B-147. 



.0304 STAFF TRAINING 

(a) Each facility shall have at least one staff 
member on duty trained in the following areas: 

(1) monitoring of vital signs; 

(2) basic first aid; 

(3) cardio-pulmonary resuscitation; 

(4) seizure management; 

(5) the Heimlich maneuver or other Red 
Cross first aid techniques for relieving 
airway obstructions; 

(6) alcohol withdrawal symptoms, including 
delirium tremens; 

(7) medication education and adminis- 
tration; and 

(8) symptoms of secondary complications 
to alcoholism. 

(b) Each direct care staff member shall re- 
ceive continuing education to include under- 
standing of the nature of addiction, the 
withdrawal syndrome, group therapy, family 
therapy and other treatment methodologies. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0305 EMERGENCY MEDICAL SERVICES 

Each facility shall have and implement writ- 
ten procedures for handling medical emergen- 
cies. These procedures shall include provision 
for the following: 

( 1 ) immediate access to a physician; 

(2) acute care hospital services; and 

(3) assistance from a local ambulance service, 
rescue squad or other trained medical 
personnel within 20 minutes of the ser- 
vice. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0306 MONITORING OF CLIENTS 

Each service shall have a written policy that 
requires the following: 

(1) procedures for the monitoring of each 
client's general condition and vital signs 
during at least the first 72 hours of the 
detoxification process; and 

(2) procedures for monitoring and recording 
each client's pulse rate, blood pressure and 
temperature at least three times daily for 
the first 72 hours after admission. 

Statutory Authority G.S. I22C-26; USB- 147. 

.0307 RKFF.RRAI TO TREATMENT 
/REHABILITATION PROGRAM 

The service shall refer each client who has 
completed detoxification to an outpatient or 
residential treatment/rehabilitation program. 



NORTH CAROLINA REGISTER 



1027 



PROPOSED RULES 



Statutory Authority G.S. I22C-26; I43B-147. 

SECTION .0400 - OUTPATIENT 

DETOXIFICATION I OR INDIVIDUALS WHO 

ARE SUBSTANCE ABUSERS 

.0401 INTRODl CTION 

(a) Outpatient detoxification is a periodic 
service which involves the provision of sup 
portive services, particularly active support 
systems such as family, Alcoholics Anony- 
mous and Narcotics Anonymous, under the 
supervision of a physician for clients who are 
experiencing physical withdrawal from alcohol 
and other drugs. 

(b) Outpatient methadone services shall be 
exempt from the provisions of this Section but 
shall comply with the provisions delineated 
under 10 NCAC 14N .0800. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0402 HOURS OF OPERATION 

Each service shall operate at least eight hours 
per day, for a minimum of five days per week, 
12 months per year. 

Statutory Authority G.S. I22C-26: 143B-147. 

.0403 STAFF REQUIRED 

(a) The treatment of each client shall be un- 
der the supervision of a physician. 

(b) 1 he services of a certified alcoholism 
counselor, a certified drug abuse counselor or 
a certified substance abuse counselor shall be 
available on an as-needed basis to each client. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0404 STAFF TRAINING 

(a) Fach facility shall have at least one staff 
member on duty trained in the following areas: 

( 1 ) monitoring of vital signs; 
( 2) basic first aid; 

(3) cardio-pulmonary resuscitation; 

(4) seizure management; 

(5) the Heimlich maneuver or other Red 
Cross first aid techniques for relieving 
airway obstructions; 

(6) substance abuse and other drug with- 
drawal symptoms, including delirium 
tremens; 

(7) medication education and adminis- 
tration; and 

(8) symptoms of secondary complications 
to substance abuse or drug addiction. 

(b) Each direct care staff member shall re- 
ceive continuing education to include under- 
standing of the nature of addiction, the 



withdrawal syndrome, group therapy, family 
therapy and other treatment methodologies. 

Statutory Authority G.S. I22C-26; I43B-147. 

.040S EMERGENCY MEDICAL SERVICES 

Each facility shall have and implement writ- 
ten procedures for handling medical emergen- 
cies. These procedures shall include provision 
for the following: 

( 1 1 immediate access to a physician; 

(2) acute care hospital services; and 

(3) assistance from a local ambulance service, 
rescue squad or other trained medical 
personnel within 20 minutes of the ser- 
vice. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0406 REFERRAL TO TREATMENT 
/REHABILITATION PROGRAM 

The service shall refer each client who has 
completed detoxification to an outpatient or 
residential treatment /rehabilitation program. 

Statutory Authority G.S. I22C-26; I43B-147. 

SECTION .0500 - RESIDENTIAL 

TREATMENT /REHABILITATION FOR 

INDIVIDUALS WHO ARE SUBSTANCE 

ABUSERS 

0501 INTRODUCTION 

A residential treatment and/or rehabilitation 
program for alcohol or other drug abusers is a 
residential service which provides active treat- 
ment and a structured living environment for 
alcohol or other drug abusers in a group facil- 
ity. Individuals must have been detoxified 
prior to entering the program. The service is 
designed to enable the individual to return to 
an independent living situation within a spe- 
cific time. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0502 HOURS OF OPERATION 

The program shall provide services 24 hours 
per day, seven days per week, 12 months per 
year. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0503 STAFF REQUIRED 

As a minimum, the following staffing pattern 
shall be required: 

(1) At least one certified substance abuse 
counselor shall be on staff full-time for 
each 15 or fewer beds in a single facility. 



1028 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



If the program falls )clo\v this prescribed 
ratio and cannot meet the prescribed ratio 
by employing a counselor who is certified, 
then it may employ an uncertified coun- 
selor as long as this individual meets the 
certification requirements within a maxi- 
mum of 24 months from the date of em- 
ployment. 
(2) A minimum of one staff member shall 
be present in the facility when clients are 
present in the program. In programs that 
serve minors, a minimum of one staff 
member for each five or fewer minor cli- 
ents shall be on duty during waking hours 
when minor clients are present. 

Statutory Authority G.S. I22C-26; I43B-I47. 

.0504 STAFF TRAINING 

(a) Each staff member shall have a training 
plan completed annually and documented 
along with documentation of attendance at 
training events. 

(b) Each facility shall have at least one staff 
member on duty trained in the following areas: 

(1) cardio-pulmonary resuscitation; 

(2) seizure management; 

(3) the Heimlich maneuver or other Red 
Cross first aid techniques for relieving 
airway obstructions; 

(4) basic first aid; 

(5) alcohol and other drug withdrawal 
symptoms; 

(6) medication education and adminis- 
tration; and 

(7) symptoms of secondary complications 
to alcoholism and drug addiction. 

(c) Each direct care staff member shall re- 
ceive continuing education to include under- 
standing of the nature of addition, the 
withdrawal syndrome, group therapy, family 
therapy and other treatment methodologies. 

(d) Each direct care staff member in a pro- 
gram that serves minors shall receive special- 
ized training in youth development and 
therapeutic techniques in working with youth. 

Statutory Authority G.S. 122C-26; 143 B-/ 47. 

.0505 EMERGENCY MEDICAL SERVICES 

Each facility shall have and implement writ- 
ten procedures for handling medical emergen- 
cies. These procedures shall include provision 
for the following: 

(1) immediate access to a physician; 

(2) acute care hospital services; and 

(3) assistance from a local ambulance service, 
rescue squad or other trained medical 



personnel within 20 minutes of the pro- 
gram. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0506 TREATMENT/REHABILITATION 
SERVICES 

Each facility shall provide or have access to 
the following services: 

(1) individual, group and or family therapy 
for each client; 

(2) educational counseling; 

(3) vocational counseling; 

(4) job development and placement; 

(5) money management; 

(6) nutrition education; and 

(7) referrals to supportive services including 
.Alcoholics Anonymous, Narcotics Anon- 
ymous, legal counseling, vocational train- 
ing and placement. 

Statutory Authority G.S. 122C-26; 1 43 B- 147. 

.0507 SCHEDULE OF ACTIVITIES 

(a) The program shall have a written sched- 
ule for daily routine activities. 

(b) The program shall establish a schedule 
for the provision of treatment and rehabili- 
tation services. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0600 - HALFWAY HOUSES FOR 

INDIVIDUALS WHO ARE SUBSTANCE 

ABUSERS 

.0601 INTRODUCTION 

A halfway house is a residential service which 
provides a structured living environment in a 
group facility for individuals who are alcohol- 
ics or other drug abusers. The service is de- 
signed to enhance the client's return to 
independent living within a specific time. In- 
dividuals must have been detoxified prior to 
entering the program. Treatment and rehabil- 
itation services are provided outside the facil- 
ity. Services provided by the halfway house 
are coordinated with the individual's treatment 
plan. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0602 HOURS OF OPERATION 

The halfway house shall provide services 24 
hours per day, seven days per week, 12 months 
per year. 

Statutory Authority G.S. I22C-26; 143B-147. 



NORTH CAROLINA REGISTER 



1029 



PROPOSED RULES 



.0603 STAFF RF.Ql I RED 

(a) .-V minimum of one staff member shall 
be present in the facility when clients are pres- 
ent in the halfway house. 

lb) The seniees of a certified alcoholism 
counselor, a certified drug abuse counselor or 
a certified substance abuse counselor shall be 
available on an as-needed basis to each client. 

(ci In programs that serve minors, a mini- 
mum of one stall member for each five or 
fewer minor clients shall be on duty during 
waking hours when minor clients are present. 

Statutory Authority G.S. 122C-26; 143B-146. 

.0604 STAFF TRAINING 

(a) Each facility shall have at least one staff 
member on duty trained in the following areas: 

1 1 ) cardio-pulmonary resuscitation: 

(2) seizure management: 

(3) the Heimlich maneuver or other Red 
Cross first aid techniques for relieving 
airway obstructions: 

(4) basic first aid: 

(5) alcohol and other drug withdrawal 
symptoms: 

(6) medication education: and 

(7) symptoms of secondary complications 
to alcohol and other drug addiction. 

(b) Each direct care staff member shall re- 
ceive continuing education to include under- 
standing of the nature of addiction, the 
withdrawal syndrome, group therapy, family 
therapy and other treatment methodologies. 

(c) Each direct care staff member in a half- 
way house that serves minors shall receive 
specialized training in youth development and 
therapeutic techniques in working with youth. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0605 EMERGENCY MEDICAL SERVICES 

Each halfway house shall have and imple- 
ment written procedures for handling medical 
emergencies. These procedures shall include 
provision for the following: 
( 1 ) immediate access to a physician; 
(2i acute care hospital services: and 
1 3) assistance from a local ambulance service, 
rescue squad or other trained medical 
personnel within 20 minutes of the half- 
way house. 

Statutory Authority G.S. J22C-26; I43B-147. 

.0606 SCHEDULE OF ACTIVITIES 

(a) The halfway house shall have a written 
schedule for daily routine activities. 



(b) The halfway house shall maintain a 
written schedule of support activities provided 
for clients. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0607 POSTING OF HOUSE RILES 

Rules of the halfway house shall be conspic- 
uously posted in the facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0700 - OUTPATIENT SERVICES 

FOR INDIVIDUALS WHO ARE SUBSTANCE 

ABUSERS 

.0701 INTRODUCTION 

(a) An outpatient service is a periodic service 
designed to meet the diagnostic therapeutic 
needs of individuals of all disability groups 
while allowing them to remain in the commu- 
nity. Services are provided to individuals, fa- 
milies or groups in a nonhospital setting 
through short visit(s) to the facility for the 
purpose of treatment, habilitation or rehabili- 
tation. Individual, group and family coun- 
seling: educational counseling: vocational 
counseling: psychotherapy; and extended 
testing evaluation are provided as needed. 

lb) An outpatient service for individuals who 
are alcohol or other drug abusers is a periodic 
service, which encompasses the activities de- 
lineated in (a) of this Rule, with the exceptions 
of psychotherapy and extended testing. In 
addition, outpatient services for substance 
abusers may be provided in a hospital setting 
if such hospital provides outpatient services. 
All substance abuse clients shall be detoxified 
prior to admission to this service. 

(c) Frequently, individuals are in need of 
more intensive treatment for substance abuse 
other than that usually provided in traditional 
outpatient services, but these individuals are 
not in need of treatment provided in residential 
facilities. They may need intensive outpatient 
services which are periodic services consisting 
of structured programs provided for each indi- 
vidual for a minimum of 5 hours or more per 
week. Intensive outpatient services may in- 
clude individual counseling, group counseling, 
family counseling, peer groups, recreational 
therapy, substance abuse and life skills educa- 
tional programs. 

Statutory Authority G.S. I22C-26; I43B-147. 

.0702 HOI RS OF OPERATION FOR 

INTENSIVE OUTPATIENT SERVICE 



1030 



\ORTH C A ROUS A REGISTER 



PROPOSED RULES 



Each intensive outpatient service shall operate 
at least three days per week, but not fewer than 
12 hours per week, twelve months per year. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0703 STAFF REQUIRED 

(a) The services of a certified alcoholism 
counselor, a certified drug abuse counselor or 
a certified substance abuse counselor shall be 
available on an as-needed basis to each client. 

(b) The staff of an intensive outpatient ser- 
vice shall include a minimum of one full-time 
or equivalent certified alcoholism, drug abuse 
or substance abuse counselor for every 16 or 
fewer clients. 

(c) If the service falls below the prescribed 
ratio in (b) of this Rule, and cannot meet the 
prescribed ratio by employing a counselor who 
is certified, then it may employ an uncertified 
counselor as long as this individual meets the 
certification requirements wilhin a maximum 
of 24 months from the date of employment. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0704 STAFF TRAINING 

(a) Each facility shall have a training plan 
completed annually and documented along 
with documentation of attendance at training 
events. 

(b) Each facility shall have at least one staff 
member on duty trained in the following areas: 

(1) cardio-pulmonary resuscitation; 

(2) seizure management; 

(3) the Heimlich maneuver or other Red 
Cross first aid techniques for relieving 
airway obstructions; 

(4) basic first aid; 

(5) alcohol and other drug withdrawal 
symptoms; 

(6) medication education and adminis- 
tration; and 

(7) symptoms of secondary complications 
to alcoholism and drug addiction. 

(c) Each direct care staff member shall re- 
ceive continuing education to include under- 
standing of the nature of addition, the 
withdrawal syndrome, group therapy, family 
therapy and other treatment methodologies. 

(d) Each direct care staff member in an out- 
patient service that serves minors shall receive 
specialized training in youth development and 
therapeutic techniques in working with youth. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0705 EMERGENCY MEDICAL SERVICES 



Each facility shall have and implement writ- 
ten procedures for handling medical emergen- 
cies. These procedures shall include provisions 
for the following: 

(1) immediate access to a physician; 

(2) acute care hospital services; and 

(3) assistance from a local ambulance service, 
rescue squad or other trained medical 
personnel within 20 minutes of the ser- 
vice. 

Statutory Authority G.S. I22C-26; 143B-147. 

SECTION .0800 - OUTPATIENT 

METHADONE SERVICES FOR INDIVIDUALS 

WHO ARE NARCOTIC ABUSERS 

.0801 INTRODUCTION 

(a) Outpatient methadone services is a peri- 
odic service designed to offer the individual an 
opportunity to effect constructive changes in 
his lifestyle by using methadone in conjunction 
with the provision of rehabilitation and med- 
ical services. 

(b) Methadone is also a tool in the detoxifi- 
cation and rehabilitation process of a narcotic 
dependent individual. For the purpose of de- 
toxification, methadone is used as a substitute 
narcotic drug; it is administered in decreasing 
doses for a period not to exceed 180 days. For 
individuals with a history of being physiologi- 
cally addicted to a narcotic for at least one year 
before admission to the service, methadone 
may also be used in maintenance treatment. 
In these cases, it may be administered or dis- 
pensed in excess of 1 80 days at relatively stable 
dosage levels with the treatment goal of an 
eventual drug- free state. 

Statutory Authority G.S. 122C-26; 143B-147; 
21 CFR Part 2 § 291.505; 21 CFR Part 1300. 

.0802 HOURS OF OPERATION 

Each service shall operate seven days per 
week, 12 months per year. Daily, weekend 
and holiday medication dispensing hours shall 
be scheduled to meet the needs of the client. 

Statutory Authority G.S. 122C-26; 143B-I47; 
21 CFR Part 2 § 291.505. 

.0803 COMPLIANCE WITH FDA/NIDA 
REGULATIONS 

Each service shall be approved by the Food 
and Drug Administration of the United State 
Department of Health and Human Services 
and shall be in compliance with all Food and 
Drug Administration National Institute on 
Drug Abuse methadone regulations in 21 CFR 



NORTH CAROLINA REGISTER 



1031 



PROPOSED RULES 



Part 2 § 291.505. These regulations are avail- 
able from the Food and Drug Administration, 
Division of Methadone Monitoring (HFN- 
340), 5600 Fishers lane, RockviUe, Maryland 
20857 at no cost. 

Statutory Authority G.S. 122C-26; MSB- 147; 
21 CFRParl 2 § 291.505. 

.0804 COMPLIANCE WITH DEA 
REGULATIONS 

Fach service shall be currently registered with 
the Federal Drug Enforcement Administration 
and shall be in compliance with all Drug En- 
forcement Administration regulations pertain- 
ing to narcotic treatment programs codified in 
21 CFR, Food and Drugs, Part 1300 to end. 
These regulations are available from the 
I'nited States Government Printing Office, 
Washington, D.C. 20402 at a cost of four dol- 
lars and fifty cents ($4.50) per copy. 



Statutory Authority 
21 CFR Part 1300. 



G.S. I22C-26; I43B-I47; 



.0805 STAFF REQl I RED 

A minimum of one certified drug abuse 
counselor or certified substance abuse counse- 
lor to each 50 clients shall be on the staff of the 
service. If the service falls below this pre- 
scribed ratio, and cannot meet the prescribed 
ratio by employing a counselor who is certi- 
fied, then it may employ an uncertified coun- 
selor as long as this individual meets the 
certification requirements within a maximum 
of 24 months from the date of employment. 

Statutory Authority G.S. 122C-26; MSB- 147. 

.0806 STAFF TRAINING 

(a) Each facility shall have at least one staff 
member on duty trained in the following areas: 

( 1 ) basic fust aid; 

cardio -pulmonary resuscitation; 
seizure management: 

the Heimlich maneuver or other Red 
Cross first aid techniques for relieving 
airway obstructions; 
drug abuse withdrawal symptoms; 
medication education; and 

symptoms of secondary complications 
to drug addiction. 

(b) Fach direct care staff member shall re- 
ceive continuing education to include under- 
standing of the nature of addition, the 
withdrawal syndrome, group therapy, family 
therapy and other treatment methodologies. 



(2) 
(3) 

(4) 



(5) 
(6) 

(7) 



Statutory Authority G.S. 122C-26; MSB- 147. 

.0807 EMERGENCY MEDICAL SERVICES 

Each service shall have and implement writ- 
ten procedures for handling medical emergen- 
cies. These procedures shall include provisions 
for the following: 



(1) 
(2) 
(3) 



immediate access to a physician; 
acute care hospital services; and 
assistance from a local ambulance service, 
rescue squad, or other trained medical 
personnel \\ithin 20 minutes of the ser- 
vice. 



Statutory Authority G.S. 122C-26; MSB- 147. 

.0808 TAKE-HOME SLPF'LIES FOR 
HOLIDAYS 

Take-home dosages of methadone for holi- 
days shall be authorized by the program phy- 
sician on a case-by-case basis according to the 
following: 

( 1 ) An additional one-day supply of metha- 
done may be dispensed to all eligible cli- 
ents (regardless of time in treatment) for 
Independence Day, Thanksgiving, Christ- 
mas, New Year's and other official state 
holidays. 

(2) No more than a three-day supply of me- 
thadone may be dispensed to any eligible 
client because of holidays. This re- 
striction shall not apply to clients who are 
receiving a six-day take-home supply of 
methadone. 



Statutory! Authority G.S. 122C-26; 
21 CFR § 291.505. 



MSB- 147; 



.0809 TREATMENT/REHABILITATION 
SERVICES 

Each service shall have staff to provide or se- 
cure the following services: 

(1) individual, group and 'or family therapy 
for each client; 

(2) educational counseling; 

(3) vocational counseling; 

(4) job development and placement; 

(5) money management; 

(6) nutrition education; and 

(7) referrals to supportive services including 
Alcoholics Anonymous, Narcotics Anon- 
ymous, legal counseling, vocational train- 
ing and placement. 

Statutory Authority G.S. 122C-26; MSB- 147. 

.0810 WITHDRAWAL FROM METHADONE 

(a) The withdrawal from methadone shall 
be discussed with each client at the initiation 



1032 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



of treatment and at three month intervals 
thereafter. 

(b) Documentation of the discussion re- 
quired in (a) of this Rule and the client's re- 
action to the discussion shall be recorded in the 
client's record. 

Statutory Authority (7.5. 122C-26; I43B-147. 

.081 I CLIENT DISCHARGE RESTRICTIONS 

No client shall be discharged from the service 
while physically dependent upon methadone 
unless the client is provided the opportunity to 
detoxify from the drug. 

Statutory Authority G.S. I22C-26; MSB- 147. 

SUBCHAPTER MO - LICENSURE RULES FOR 

FACILITIES SERVING MORE THAN ONE 

DISABILITY 

SECTION .0100 - ALTERNATIVE FAMILY 
LIVING 

.0101 INTRODUCTION 

(a) Alternative family living is a residential 
service which provides room and board and 
"family style" supervision and monitoring of 
the client's daily activities. Individuals live 
with a family who act as providers of 
supportive services. The service providers are 
supported by professional staff with ongoing 
consultation and education to the service 
providers in their own homes. 

(b) Alternative family living may include the 
host home model which is a residential service 
that provides for placement of an individual in 
a private home on a contracted short-term 
basis with continuous supervision 
supplemented by treatment provided by 
professional staff. 

(c) Each facility shall be designed primarily 
to serve persons with mental illness, mental 
retardation or other developmental disability, 
or substance abuse in need of a supervised 
living environment within a community 
setting. 

Statutory Authority G.S. I22C-26; MSB- 147. 

.0102 CAPACITY 

Each alternative family living facility shall 
serve a maximum of two clients at the same 
time. 

Statutory Authority G.S. 122C-26; MSB-147. 

OHO PHYSICAL PLAN! REQUIREMENTS 



(a) A minimum of one ionized smoke 
detector wired into the house current shall be 
installed and centrally located. Additional 
smoke detectors that are not wired into the 
house current shall be checked at least monthly 
b\ the provider. 

(b) A dry powder of CO(2) type fire 
extinguisher shall be located in the kitchen and 
shall be checked at least annually by the local 
fire department. Each client and provider shall 
receive instruction in its use on his/her first day 
of residence. 

Statutory Authority G.S. I22C-26; 14SB-M7. 

(1104 DESIGNATED QUALIFIED 
PROFESSIONAL 

Each client admitted to a facility shall be 
receiving services from a qualified mental 
health professional, qualified developmental 
disabilities professional, or qualified substance 
abuse professional, as appropriate, who has 
responsibility for the client's 

treatment/program or case management plan. 

Statutory Authority G.S. I22C-26; MSB-147. 

.0105 CLIENT SUPERVISION 

Al least one facility staff member shall be 
present in the facility during hours in which a 
client is in the facility unless the qualified 
professional who has designated responsibility 
for the client's treatment program or case 
management plan has documented in the 
individual client plan that the client may 
remain in the facility without supervision in 
certain clearly delineated instances. 

Statutory Authority G.S. 122C-26; MSB-147. 

.0106 SERVICE RESPONSIBILITIES 

(a) When the governing body is not the 
provider of services, it shall attempt to match 
the client's needs with the provider. 

(b) Each governing body shall maintain an 
application on each provider which includes 
the following: 

(1) full name of each person living in the 
home; 

(2) place, telephone number and hours of 
employment for those family members 
who will be providing alternative family 
living services; 

(3) address, directions to and telephone 
number of residence; and 

(4) descriptions of sleeping arrangements 
for the client. 



NORTH CAROLINA REGISTER 



1033 



PROPOSED RULES 



(c) Each governing body shall have a written 
agreement with each provider which includes 
but is not limited to the following: 

( 1 ) description of the client's behavior; 

(2) the responsibilities of the provider; 

(3) confidentiality requirements; 

(4) responsibility and procedures for 
securing emergency services; 

(5) responsibilities for supervising the 
client; 

(6) special dietary considerations; 

(7) participation in appropriate training 
programs; 

(8) responsibilities of both parties as to 
provision of client medical, dental, and 
developmental treatment services as 
deemed necessary; 

(9) responsibilities for insuring that the 
client participates in appropriate 
treatment habilitation services; 

(10) responsibilities for client 
transportation; 

(11) termination clause; and 

(12) terms of compensation. 

(d) The governing body shall maintain a 
signed copy of the agreement in the files, and 
a signed copy shall be given to the provider. 

(e) Each governing body shall furnish each 
provider with a form for recording illness, 
accident or medical concerns, including 
administration of medication. This form shall 
be maintained by the governing body in the 
client's record. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0107 PROVIDER TRAINING 

(a) Each provider shall participate in a 
training program prior to the placement of a 
client in his her home. 

(b) The content of the training program shall 
include but not be limited to the following: 

(1) general overview of mental illness, 
mental retardation or other 
developmental disability, and or 
substance abuse, as appropriate; 

(2) administration of medication: 

(3) development of the individual treat- 
ment habilitation plan; 

(4) confidentiality: 

( 5 ) client rights: and 

(6) principles of behavior management, it 
appropriate. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0108 HOUSEKEEPING ACTIVITIES 



Each facility may assign clients to routine 
housekeeping activities normative for his, her 
age and development or psychiatric status as 
specified in the individual client plan for 
services in the facility. 

Statutory Authority G.S. 122C-26; 143B-14' 7 . 

.0109 TRANSPORTATION 

Each facility shall arrange or provide 
transportation for the client as specified in the 
individual client plan and in emergency 
situations. 

Statutory Authority G.S. I22C-26; I43B-J4~. 

SECTION .0200 - SUPERVISED 
INDEPENDENT LIVING 

.0201 INTRODUCTION 

Supervised independent living is a residential 

service which may provide room, board, and 

care to one or more individuals who do not 

need 24-hour supervision. Training. 

counseling, and various levels of supervision 

are provided as needed. Supervised 

independent living includes apartment living 

and boarding homes and shall be designed 

primarily to serve persons IS years of age or 

older with mental illness, mental retardation 

or other developmental disability, or for 

substance abusers between 16 and 21 years of 

age. Supervised independent living includes 

apartment living and boarding homes as 

follows: 

( 1 ) Apartment living is a residential service 

providing a supervised living environment 

for individuals who are preparing for 

independent living. Counseling and 

technical assistance are provided as 

needed. Service models may include 

co-resident apartments, apartment clusters 

and single resident apartments. 

(a) Co-resident apartment is a residential 
service that features one staff person, 
commonly called a counselor, living 
with one or two adults in a single 
apartment. 

(b ) Apartment cluster is a residential service 
that involves residents living in several 
apartments in the same building or 
scattered sites within an apartment 
complex and is commonly staffed with 
a counselor or manager who resides 
within the same apartment complex. 

(c) Single resident apartment is a residential 
service that involves almost total 
independent living for adults who may 



1034 



SORTH CAROLIXA REGISTER 



PROPOSED RULES 



reside in a variety of settings dispersed 

throughout the community. 
(2) Boarding home is a residential service 
provided for individuals with mental 
illness, mental retardation or other 
developmental disability, or for substance 
abusers which provides an alternative 
living environment for those individuals 
not yet ready for successful independent 
living. Training may be provided in the 
areas of health and safety, medication 
administration, use of community 
services, management of personal funds, 
acquisition and refinement of self-help 
skills, acquisition and refinement of 
individualized leisure activities, and 
personalized counseling services. This 
service is generally less restrictive than 
group homes but more restrictive than 
apartment living. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0202 CAPACITY OF BOARDING HOME 

Each boarding home shall have a capacity of 
nine or fewer clients. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0203 PHYSICAL PLANT REQUIREMENTS 

(a) A minimum of one ionized smoke 
detector wired into the house current shall be 
installed and centrally located. Additional 
smoke detectors that are not wired into the 
house current shall be checked at least monthly 
by the provider. 

(b) A dry powder or CO(2) type fire 
extinguisher shall be located in the kitchen and 
shall be checked at least annually by the local 
fire department. Each client and provider shall 
receive instruction in its use on his/her first day 
of residence. 

(c) A minimum of two means of exit shall 
be included for each boarding home. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0204 PROGRAM DIRECTOR 
/COORDINATOR 

Each program shall have a designated 
program director/coordinator. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0205 DESIGNATED QUALIFIED 
PROFESSIONAL 

Each client admitted to a facility shall be 
receiving services from a qualified mental 
health professional, qualified developmental 



disabilities professional, or qualified substance 
abuse professional, as appropriate, who has 
responsibility for the client treatment/program 
or case management plan. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0206 SUPPORT SERVICES 

Support services shall be made available to 
all clients to assist in meeting individual 
medical, habilitation, treatment, vocational, 
social and other needs. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0207 TREATMENT/HABILITATION PLAN 

With the exception of the co-resident 
apartment, each individual client plan shall 
contain documentation that the individual 
needs a residential service with fewer than 24 
hour per day supervision, and that the intensity 
of supervision provided by the program is 
consistent with needs identified in the 
individual's treatment/habilitation plan. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0208 AGREEMENT: CLIENT/SUPERVISED 
INDEPENDENT LIVING PROGRAM 

(a) A written agreement shall be negotiated 
between each client and the service provider 
which specifies the responsibilities of the client 
and the provider. 

(b) One copy of the agreement shall be given 
to the client and one copy included in the 
client's record. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0209 CLIENT TRAINING IN HEALTH AND 
SAFETY 

(a) Each client shall receive training 
concerning safe and proper methods of using 
kitchen and housekeeping equipment such as 
knives, range, exhaust fans, and other electrical 
appliances. 

(b) Each client shall have access to first aid 
supplies and shall receive training in the use 
of these supplies. 

(c) Each client shall receive instruction in 
obtaining services in emergency situations. 

(d) Information on obtaining emergency 
services, including access to available 
telephones, shall be posted. 

(e) Each client who cannot self-medicate 
shall be provided a training program to assist 
him/her to be less reliant on drug 
administration by staff and more self-reliant 
regarding drug administration. 



NORTH CAROLINA REGISTER 



1035 



PROPOSED RULES 



Statutory Authority G.S. 122C-26; 143B-147. 

.0210 STAFF REQUIRED: APARTMENT 
LIVING FOR MR/DO CLIENTS 

(a) The program director coordinator tor 
apartment living programs serving mentally 
retarded or otherwise developmentally disabled 
clients shall be at least a high school graduate 
or equivalent with three years of experience in 
mental retardation programming but 
preferably a college graduate with one year of 
experience in mental 
retardation developmental disability 
programming. 

(b) The staffing patterns of the apartment 
living program, including the staff client ratio 
and the use of volunteers, advocates and other 
support individuals, shall be developed in 
response to the degree of independence of 
residents and the geographical dispersal of 
apartment living units. 

(c) The staff client ratio shall be as follows: 

( 1 ) co-resident apartment - at least one staff 
member to each two clients; 

(2) apartment cluster - at least one staff 
member to each 12 or fewer clients: and 

(3) independent living - at least one staff 
member to each 15 or fewer clients. 

(d) When the program director coordinator 
is not available, another person shall be 
designated to serve in that capacity. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0211 STAFF RFQLIRKD: APARTMENT 
LINING PROGRAMS FOR MI/SA 

(a) Sufficient staff members shall be available 
to the apartment living programs serving 
mentally ill and substance abuse clients to 
assist clients in the development of necessary 
skills. 

(bj Live-in staff shall not be required except 
in co-resident apartments. 

Statutory Authority G.S. J22C-26; 143B-14 1 . 

.0212 STAFF REQUIRED: BOARDING 
HOMES 

(a) Sufficient staff members shall be available 
to the boarding home to assist clients in the 
development of necessary skills. 

(b) Live-in staff shall not be required. 

Statutory Authority G.S. 122C-26; I43B-I47. 

SECTION .0300 - RESIDENTIAL 

THERAPKl IK (HABILITATIVE) (AMPS 

LOR CHILDREN AND ADOLESCENTS 



.0301 INTRODUCTION 

(a) A residential therapeutic (habilitative) 
camp is a residential treatment service provided 
in a camping environment which is designed 
to help individuals develop behavior control, 
coping skills, self-esteem and interpersonal 
skills. Services may include supervised peer 
interaction, provision of healthy adult role 
models, and supervised recreational, educa- 
tional and therapeutic experiences. 

(b) bach residential therapeutic (habilitative) 
camp shall be designed to serve children and 
adolescents six through 17 years of age who are 
emotionally disturbed or who have mental re- 
tardation or other developmental disabilities. 

(c) These Rules arc not applicable to facili- 
ties designed primarily for recreational pur- 
poses or those subject to regulation by the 
N.C. Division of Youth Services. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0302 BEDROOM/BATH FACILITIES 

(a) All sleeping units shall provide at least 
the following space: 

( 1 ) 30 square feet per person; 

(2) six feet between heads of sleepers; and 

(3) 3D inches between sides of beds. 

(b) A minimum of the following shall be 
provided: 

( 1 ) one shower head for each ten individ- 
uals; 

(2) one flush toilet for each ten individuals; 
and 

(3; one handwashing facility, adjacent to 
toilet facilities, for each 20 individuals. 

Statutory? Authority G.S. 122C-26; 143B-147. 

.0303 EQUIPMENT AND SLPPLIES 

(a) Gasoline, kerosene and other flammable 
materials shall be stored in covered safe con- 
tainers plainly labeled as to content. Storage 
shall be in a well-ventilated, secure location. 

(b) All power tools, including mowers and 
trimmers, shall have the necessary safety de- 
vices and shall be used according to manufac- 
turer's instruction, maintained in good repair, 
and used only by those persons trained and 
experienced in their safety. When campers are 
using such equipment, a trained and responsi- 
ble adult shall be present. All power tools 
shall be stored in a locked place not occupied 
by individuals when the tools are not in use. 

(c) bire extinguishers shall be available in all 
areas so designated bv lire officials and shall 



1036 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



be properly charged and have a current in- 
spection label. 

Statutory Authority G.S. 122C-26; 1 43 B- 147. 

.0304 STAFF REQUIRED 

(a) Each camp designed primarily to serve 
campers who are emotionally disturbed shall 
have a program director who has a minimum 
of two years' experience in child/adolescent 
mental health services, who has camping ex- 
perience, and who has educational preparation 
in administrative, education, social work, 
nursing, psychology or a related field. 

(b) bach camp designed primarily to serve 
campers who are mentally retarded or other- 
wi.se developmental^ disabled shall have a 
program director who has a minimum of two 
years' experience in mental retardation or other 
developmental disability services, who has 
camping experience, and who has educational 
preparation in administration, education, so- 
cial work, nursing, psychologv or a related 
field. 



(b) Each facility shall have at least one staff 
member trained in basic first aid, cardio-pul- 
monary resuscitation, seizure management and 
the Heimlich maneuver or other Red Cross 
first aid techniques for relieving airway ob- 
structions. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0309 MEDICAL STATEMENT 

(a) bach staff member who works directly 
and on a regularly scheduled basis with clients 
shall submit a medical statement from a li- 
censed physician or an authorized health pro- 
fessional under his/her supervision to the 
program at the time of initial employment and 
annually thereafter. 

(b) The medical statement shall be in any 
written form but shall indicate the general 
physical and mental health of the individual 
and the lack of evidence of active tuberculosis 
and/or other communicable diseases. 

(c) The program shall keep the most recent 
medical statement on file. 



Statutory Authority G.S. 122C-26; MSB- 147. 

.0305 DESIGNATED QUALIFIED 
PROFESSIONAL 

Each client admitted to a facility shall be re- 
ceiving services from a qualified mental health 
professional or qualified developmental disa- 
bilities professional, as appropriate, who has 
responsibility for the client's 

treatment, program or case management plan. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0306 STAFF/CAMPER RATIO 

(a) A minimum of two staff members shall 
be on duty for every eight or fewer campers. 

(b) The emergency on-call staff shall be 
readily available by page and able to reach 
campers within one hour. 

Statutory Authority G.S. 122C-26; I43B-I47. 

.0307 STAFF AVAILABILITY 

(a) During waking hours, staff shall be within 
sight or voice range of the campers. 

(b) During sleeping hours, staff shall be lo- 
cated within voice range of the campers. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0308 TRAINING OF STAFF 

(a) Staff assigned to the program shall be 
trained to manage the children/adolescents in- 
dividually and as a group. 



Statutory Authority G.S. 122C-26; I43B-147. 

.0310 PRO VISION OF APPROPRIATE 
ACTIVITIES 

Each camp shall provide activities appropri- 
ate to the functioning level of the 
child/adolescent. Training in 

language/communication skills, fine and gross 
motor skills, cognitive skills, social relationship 
skills and recreation skills shall be provided as 
specified in the individual client plan. 

Statutory Authority G.S. J22C-26; 143B-147. 

.031 1 EMERGENCY MEDICAL TREATMENT 

Emergency medical treatment shall be avail- 
able within one hour of the camp. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0312 PSYCHIATRIC CONSULTATION 

Psychiatric consultation shall be available on 
an as-needed basis to the camp. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0313 SCHEDULE OF DAILY ACTIVITIES 

Each camp shall have a written schedule of 
daily activities which shall be posted in a place 
accessible to children/adolescents and staff. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0314 BASIC SAFETY 



NORTH CAROLINA REGISTER 



1037 



PROPOSED RULES 



(a) Each camp shall develop and implement 
written policies and procedures on basic care 
and safety. 

(b) The policies and procedures shall address 
at least the following: 

( 1 ) clothing suitable for existing weather 
conditions; 

(2) cross ventilation in all sleeping units; 

(3) bathing facilities with warm water: 

(4) storage of flammable materials; 

(5) use of tools and sharp instruments; 

(6) use of cooking facilities and equipment; 
and 

(7) beds or lockers no closer than five feet 
to anv heating unit. 



.0403 HOURS OF OPERATION 

Services shall be available for 24 hours per 
day during times when a client is in residence. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0404 DESIGNATED QUALIFIED 
PROFESSIONAL 

Each client admitted to a facility shall be re- 
ceiving services from a qualified mental health 
professional or qualified substance abuse pro- 
fessional, as appropriate, who has responsibil- 
ity for the client's treatment /program or case 
management plan. 



Statutory Authority G.S. 122C-26: I43B-I4' 



Statutory Authority G.S. 122C-26; MSB- 14'/ 



SECTION .0400 - THERAPEUTIC HOMES 
FOR CHILDREN AND ADOLESCENTS 

.0401 INTRODUCTION 

(a) A therapeutic home is a residential pro- 
gram primarily located in a private residence 
which provides professionally trained parent- 
substitu es who work intensively with individ- 
uals in providing for their living, socialization, 
therapeutic and sldJl-learning needs. The par- 
ent-substitutes have skills and training above 
those of alternative family living service pro- 
viders and receive close supervision and sup- 
port from program staff. The program m,i\ 
utilize services from a facility providing treat- 
ment services such as outpatient or day treat- 
ment. 

(b) Services in the therapeutic home are de- 
signed to provide a healthy adult role model 
for both emotionally disturbed children and for 
those children who have substance abuse-re- 
lated problems. These services are provided in 
a home environment and utilize other treat- 
ment facilities. 

(c) Each therapeutic home shall be designed 
primarily to serve either emotionally disturbed 
children and adolescents, those children and 
adolescents with substance abuse-related 
problems, or both, under IS years of age who 
need a therapeutic residential setting providing 
training and support toward the development 
of independent living skills. 

Statutory Authority G.S. I22C-26; M3B-M7. 

.0402 CAPACITY 

Each therapeutic home shall serve no more 
than two individuals. 

Statutory Authority G.S. J22C-26: 143B-147. 



.0405 STAFF/CLIENT RATIO 

A minimum of one therapeutic home parent 
shall be present with clients at all times unless 
the designated qualified professional has docu- 
mented in the individual client plan that the 
client may be without supervision in certain 
clearly delineated instances. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0406 ADMISSION CRITERIA 

(a) Admission to the facility shall be a joint 
decision of the designated qualified profes- 
sional, the provider and the client or the legally 
responsible person. 

(b) The client shall have the opportunity for 
at least one pre-admission visit to the home 
except for an emergency admission. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0407 TRAINING OF THERAPEUTIC HOME 
PARENTS 

The mdividual(s) identified as the therapeutic 
home parent(s) shall receive pre-service train- 
ing in treatment services for the client for 
whom they are providing care. This training 
shall be documented in the program's person- 
nel files. Training shall include, but not be 
limited to, the following: 

(1) child/adolescent development; 

(2) dynamics of emotionally disturbed /sub- 
stance abusing youth and families; 

(3) symptoms of substance abuse; 

(4) needs of emotionally disturbed sub- 
stance abusing youth in residential set- 
tings; 

(5) administration of medication; 

(6) confidentiality; 

(7) client rights; and 



1038 



NORTH CAROLINA REGLSTER 



PROPOSED RILES 



(8) development of the individual treatment 
plan. 

Statutory Authority G.S. J22C-26; I43B-147. 

.0408 AGREEMENT WITH THERAPEUTIC 
HOME PARENTS 

(a) When the governing body is not the 
provider of services, the governing bod\ and 
the involved providers shall have a written 
agreement with the therapeutic home 
parent(s), which includes, but is not limited to, 
the following: 

( 1 ) responsibility of the governing body and 
the therapeutic home parents; 
confidentiality requirements; 
responsibility and procedures for secur- 
ing emergency services; 
terms of compensation; and 

availability of the therapeutic home 
parents, including provision of vacation 
timc(s) and periods of respite relief for 
the therapeutic home parents. 
A signed copy of the agreement shall be 
maintained in the program files and a copy 
given to the therapeutic home parents. 



(2) 

(3) 

(4) 
(5) 



(b) 



Statutory Authority G.S. I22C-26; 143B-147. 

.0409 COORDINATION OF TREATMENT 
AND EDUCATION 

(a) The program staff and therapeutic home 
parents shall coordinate the client's individual 
plan with his/her educational program. 

(b) The program staff and therapeutic home 
parents shall have conferences, at least quar- 
terly, with teachers or principals regarding the 
client, as well as with juvenile court personnel 
and other relevant caretakers. The client's 
parents or legally responsible person shall be 
included as indicated by statute and program 
staff. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0410 ROLE OF PARENT(S) OR THE 

LEGALLY RESPONSIBLE PERSON 

(a) The client's parent(s) or the legally re- 
sponsible person shall have the opportunity to 
participate in the development and implemen- 
tation of the client's individual treatment plan. 

(b) A report to the parent(s) or the legally 
responsible person shall be submitted when 
feasible at least every three months. Reports 
may be in writing or take the form of a con- 
ference and shall focus on the client's progress. 

Statutory Authority G.S. I22C-26; 143B-147. 



.0411 APPLICATION FOR THERAPEUTIC 
HOME PARENTS 

Each program which provides services 
through contracts with the therapeutic home 
parents to serve clients in their home shall 
maintain an application tile which includes: 

(1) full name(s) of each person living in the 
home; 

(2) names of family members responsible for 
client supervision and their supervision 
schedules; and 

(3) address, directions to and telephone 
number of the home. 

Statutory Authority G.S. I22C-26; 1 43 B- 147. 

.0412 CLINICAL CONSULTATION 

(a) Clinical consultation to each home shall 
be provided by a qualified mental health pro- 
fessional based on client needs if a mental 
health client resides in the home. 

(b) Clinical consultation shall be provided to 
each home by a qualified alcoholism, drug 
abuse or substance abuse professional at least 
once a week if a substance abuser resides in the 
home. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0413 DAILY ACTIVITIES 

Daily activities shall be as consistent as pos- 
sible with the basic routines of the family, in- 
cluding individual and organization 
recreational activities, field trips and experi- 
ences within the community. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0414 DAY PROGRAM 

I*ach client shall participate in a day program 
designed to meet his/her educational, voca- 
tional and employment needs. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0415 HOUSEKEEPING ACTIVITIES 

Fach client may be assigned to participate in 
routine housekeeping activities consistent with 
his/her age and clinical status. 

Statutory Authority G.S. I22C-26; 143B-I47. 

.0416 PERSONAL HYGIENE 

Each client shall be provided instruction in 
good health practices pertaining to personal 
hygiene and grooming. 

Statutory Authority G.s. 122C-26; I43B-147. 



NORTH CAROLINA REGISTER 



1039 



PROPOSED RULES 



SKCTION .0500 - DAY ACTIVITY 

.0501 INTRODUCTION 

Day activity is a day night service which pro- 
vides supervision and an organized program 
during a substantial part of the day in a group 
setting to adults and elderly individuals who 
are mentally ill or substance abusers. Partic- 
ipation ma\ be on a scheduled or drop-in ba- 
sis. The service is designed to support the 
individual's personal independence and pro- 
mote social, physical and emotional well-being 
through activities such as social skills develop- 
ment, leisure activities, training in daily living 
skills, improvement of health status, and utili- 
zation of community resources. 

Statutory Authority G.S. 122C-26: 143B-147. 

.0502 HOURS OF OPERATION 

Each day activity program shall be available 
three or more hours a day on a regularly sche- 
duled basis at least once a week. 

Statutory Authority G.S. 122C-26; 143B-147. 

.050.1 STAFF REQUIRED 

Each program shall have at least one staff 
member on site at all times that clients are 
present in the facility. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0504 DESIGNATED QUALIFIED 
PROFESSIONAL 

Each client admitted to a facility shall be re- 
ceiving services from a qualified mental health 
professional or qualified substance abuse pro- 
fessional, as appropriate, who has responsibil- 
ity for the client's treatment program or case 
management plan. 

Statutory Authority G.S. 122C-26; 143B-147. 



(b) The planned program activities shall be 
designed to enhance the client's social, physical 
and emotional well-being. 

Statutory Authority G.S. 122C-26; 143B-147. 
SECTION .0600 - SHELTERED WORKSHOPS 

.0601 INTRODUCTION 

(a) A sheltered workshop is a day/night ser- 
vice which provides work-oncnted services in- 
cluding various combinations of evaluation, 
developmental skills training, vocational ad- 
justment, job placement, and sheltered em- 
ployment to individuals of all disability groups 
16 years of age or over who have potential for 
gainful employment. This service is designed 
for individuals who have demonstrated that 
they do not require the intensive training and 
structure found in programs such as Adult 
Developmental Activity Programs (ADAP) 
but have not yet acquired the skills necessary 
for competitive employment. It provides the 
individual opportunity to acquire and maintain 
life skills including appropriate work habits, 
specific job skills, self-help skills, socialization 
skills, and communication skills. This service 
focuses on vocational productive work activ- 
ities for individuals who have potential for 
gainful employment as determined by Voca- 
tional Rehabilitation Services or the ability to 
participate in a sheltered employment pro- 
gram. Sheltered workshops are subject to 
Department of Labor Federal Wage and Hour 
Guidelines for the Handicapped. 

(b) The Rules in this Section specify licen- 
sure requirements applicable to sheltered 
workshops which serve individuals v ho are 
primarily mentally retarded or otherwise de- 
velopmentally disabled; however, individuals 
with mental illness, substance abuse and se- 
verely physically disabled individuals may also 
be served within a sheltered workshop. 



.0505 PLAN FOR PROGRAM ACTIVITIES 

(a) Each day activity program shall have 
planned activities which shall include one or 
more of the following: 

( 1 ) development of interpersonal skills; 

(2) development of daily living skills such 
as meal preparation, money manage- 
ment, use ot transportation, or leisure 
time; 

(3) development of personal care skills such 
as grooming, health care or nutrition; 
and 

(4) assistance with obtaining other needed 
services. 



Statutory Authority G.S. I22C-26; 143B-147. 

.0602 COMPLIANCE WITH OTHER RULES 

Sheltered workshops which are subject to 
rules and regulations of the North Carolina 
Division of Vocational Rehabilitation Services 
shall not be subject to licensure under the 
provisions of G.S. 122C, .Article 2. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0603 HOURS OF OPERATION 

Sheltered workshop services shall be available 
for client attendance at least six hours per day 



1040 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



(exclusive of transportation time), five days per 
week, 12 months per year. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0604 PHYSICAL PLANT REQUIREMENTS 

(a) Each facility shall be inspected annually 
by an outside safety consultant with written 
documentation and follow-up on recommen- 
dations. 

(b) F.ach facility shall be designed and 
equipped to promote the training and adult 
status of clients. 

(c) Each facility shall eliminate architectural 
barriers which prohibit access to the building 
and use of equipment and facilities. 

(d) Each facility shall provide adequate toilet 
facilities and drinking fountains for clients. 

Statutory Authority G.S. I22C-26; 143B-147. 

.0605 PROVISION FOR CLASSROOM 
SPACE 

Each facility shall ha\e designated space for 
classroom activities. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0606 PROGRAM DIRECTOR 

(a) Each sheltered workshop shall have a 
designated full-time program director. 

(b) The program director shall be at least a 
high school graduate or equivalent with three 
years of experience in mental 
retardation, 'developmental disability program- 
ming, but preferably a college degree with one 
year of experience in mental retardation or 
other developmental disability rehabilitation 
programming. 

Statutory Authority G.S. 122C-26; 1 43 B- 1 47. 

.0607 DIRECTOR/COORDINATOR 

(a) Each sheltered workshop shall have a 
designated full-time director/coordinator. 

(b) The director/coordinator shall be at least 
a high school graduate or equivalent with three 
years of experience in mental 
retardation/developmental disability program- 
ming, but preferably a college degree with one 
year of experience in mental 
retardation developmental disability program- 
ming. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0608 CLIENT/STAFF RATIO 

Each sheltered workshop shall maintain an 
overall direct service ratio of at least one full- 



time or full-time equivalent direct service staff 
member for each ten or fewer clients. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0609 CLIENT EVALUATOR 

(a) At least one staff member shall be desig- 
nated as a client evaluator. 

(b) The client evaluator shall have at least a 
high school diploma, but preferably a college 
degree, and shall have completed a five day 
inscrvice training program in the evaluation 
component of a licensed ADAP or sheltered 
workshop or in another training program ap- 
proved by DMH/MR/SAS. 

Statutory Authority G.S. I22C-26; 143B-I47. 

.0610 CLIENT RE-EVALUATION 

(a) Each client shall be re-evaluated at least 
annually. 

(b) The re-evaluation shall include, but not 
be limited to, the following: 

( 1 ) a written summary of the client s yearly 
progress to date; 

(2) standardized and non- standardized as- 
sessments when deemed appropriate 
and applicable and correlated with the 
original assessment; and 

(3) assessment of the attainment of the in- 
dividual program plan. 

Statutoty Authority G.S. 122C-26; 143B-147. 

.061 1 PROMOTION OF CLIENTS' RIGHTS 

Clients shall be counseled concerning their 
rights and responsibilities as participants in the 
program in such matters as wages, hours, 
working conditions, social security, redress for 
injur>' and the consequences of their own tor- 
tuous or unethical conduct. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0612 USE OF PUBLIC TRANSPORTATION 
BY CLIENTS 

Clients served by the sheltered workshop shall 
be encouraged to use public transportation if 
available. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0613 CLIENT HANDBOOK 

(a) Each sheltered workshop shall have a 
client handbook including, but not limited to, 
information about its services and activities. 

(b) The client handbook shall be written in 
a manner comprehensible to clients and re- 
flective of adult status. 



NORTH CAROLINA REGISTER 



1041 



niHnanBB 



PROPOSED RULES 



(c) Each client shall be given a handbook 
and the handbook shall be reviewed with the 
client. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0614 ACTIVITIES AND SERVICES 

(; ) Activities and services shall be designed 
and implemented with adherence to the prin- 
ciples of normalization. 

lb) Activities shall be provided in groups 
derigned to promote community integration. 

(c| Activities and services shall be aimed at 
increasing age-appropriate actions, image and 
appearance of the clients. 

( d i Activities and services shall be directed 
toward the preparation of the client to live as 
independently as possible. 

Statutory Authority G.S. 122C-26: 143B-147. 

.0615 BUSINESS PRACTICES 

(a) Supplies, materials or tools, if provided 
by the sheltered workshop, shall be identified 
as .1 separate amount in the bid price. 

lb ) Wages paid to sheltered workshop clients 
shall be on a piece rate or hourly commensu- 
rate wage. 

(ci bach client involved in productive work 
shall receive a written statement for each pay 
period which indicates gross pay. hours 
worked and deductions. 

(d) Prices for goods produced in the sheltered 
workshop shall be equal to or exceed the cost 
of production (including commensurate wages. 
overhead, tools and materials). 

Statutory Authority G.S. 122C-26; 143B-147. 

.0616 ACCIDENT REPORTING 

A written plan shall be established for the re- 
porting of all accidents that occur during shel- 
tered workshop activities, whether or not they 
give rise to injuries requiring medical treat- 
ment. The accident report shall contain the 
following information: 

( 1 ) identity of persons involved: 

(2) place of accident: 

(3) time of accident: 

(4) name of responsible supervisor; 
i 5 1 description of the accident; and 
(6) emergency services rendered. 

Statutory Authority G.S. 122C-26; I43B-147. 

.0617 SAFETY COMMITTEE 

(ai A safety committee comprised of staff 
members and client representatives shall be 



appointed to review accident reports and to 
monitor the sheltered workshop for safety. 

(b) The safety committee shall meet at least 
quarterly. 

(c) Minutes shall be kept of all meetings and 
submitted to the program director with rec- 
ommendations for needed changes. 

Statutory Authority G.S. 122C-26; 143B-I47. 

.0618 SAFETY EDUCATIONAL PROGRAM 

Each facility shall provide an ongoing educa- 
tional program for staff and clients designed to 
teach them the principles of accident pre- 
vention and control of specific hazards. 

Statutory Authority G.S. 122C-26; 143B-147. 

.0(. 19 SUSPENSIONS AND DISMISSALS 

(a) Each sheltered workshop shall establish 
written criteria and procedures for client sus- 
pensions and dismissals. 

(b) Dismissal shall be the result of a staff 
assessment which shall include, but not be 
limited to. those behavior(s) judged to be 
harmful to self or others. 

(c) Suspensions shall be the result of a staff- 
ing process and shall be for a specific time pe- 
riod, with all suspensions reported to the 
referral agency if the agency has maintained an 
active relationship with the client since the 
time of referral. 

Statutory Authority G.S. 122C-26; 143B-14' 7 . 

CHAPTER 18 - MENTAL HEALTH: OTHER 
PROGRAMS 

SUBCHAPTER 181 - GENERAL 
REQUIREMENTS 

SECTION .0100 PURPOSE: SCOPE: 
APPLICABILITY AND DEFINITIONS 

.0120 DEFINITIONS 

(a) For the rules contained in Subchapter 181 
through 1SQ of this Chapter the following de- 
finitions apply: 

(1) -'Active Client - Mental Health Treat- 
ment" means treatment provided for a 
client who: 
t-a- H A ; has a written plan of treatment. 

with specific goals and time frames; 
f^M_B_i is receiving treatment in accord- 
ance with the plan: and 
fe+[Cj has met face to face with a staff 
member within the past 90 days. 



104. 



XORTH CAROLLXA REGISTER 



PROPOSED RL'LES 



(2) "Active Client - Substance Abuse 
Treatment" means treatment provided 
for a client who: 

fc*}( A ) has a written plan of treatment, 
with specific goals and time frames; 

fb+Ui) is receiving treatment in accord- 
ance with the plan; and 

(o)(C) has met face to face with a staff 
member within the past 30 days. 

(3) "Active Client - Mental Retardation 
Habitation" means developmental 
programming for an individual who is 
mentally retarded which is provided 
under the auspices of the area program 
or its contract agencies and initiated 
with the development of an individual 
program plan and ceasing when the cli- 
ent enters follow along status. 

(4) "Administering Medication'" means the 
term as defined in 10 NCAC 14K .0103. 
direct application &£ a medication 
whether by injection, inhalation, wages 
tion, e* »»¥ oth e r meant , to the client. 

(5) "Affective Iiducation" means teaching 
the individual to work with his own and 
others' feelings and emotions for the 
primary purpose of understanding or 
modifying behavior and improving 
skills for making healthy, responsible 
decisions and for communicating effec- 
tively. 

(6) "Alcohol Abuse" means the term as 
defined in 10 NCAC 14K .0103. the 
pathological «se of alcohol to* h+ least 
owe month that eaoses impairment i» 
social of occupational functioning. 

(7) "Alcohol Dependence" (alcoholism) 
means the term as defined in ]_0 NCAC 
14K .0103. either the pathological ose 
of alcohol of impairment io social of 
occupational functioning one to alcohol 
consumption. Alcohol dependence 
also includes the development e£ a state 
of tolerance fof alcohol aod tbe man 
ifestation of the withdrawal syndrome 
following the cessation of reduction m 
the intake of alcohol. 4+k* diagnosis of 
alcohol d e pend e nc e does Hot imply of 
include the d i agnosis of- mental illness 
even though a ooal primary diagnosis 
fof both alcohol dependence a«4 men 
tol illness may coexist. 

(8) "APSM 35-1" means "Standard for 
Area Programs and Their Contract 
Agencies" as codified in 10 NCAC 1SI 
through 18Q and published by the di- 
vision. 



(9) Area Authority" (ar e a mental health, 
mental retardation a«4 substance abuse 
authority) means the governing ooit- e&- 
tablished by a board fof boards . ) ©f 
county comminiiionuro, with the ap- 
proval of the Department of 1 luman 
Resources aod the commission, which 
is delegated the authority to serve a* the 
comprehensive planning ; budgeting, 
implementing ami monitoring body fof 
community based mental health, men 
tal r e tardation a&4 substance abuse 
programs. 

f44ty "Area Board" means a body of local 
officials appointed by county commis 
sioners a«4 delegated to serve as the 
gov e rning body of the afea authority. 
44*e board thus appointed h» the afea 
authority fof the purposes of these 
standards. 

H-H(9) "Area Director" means an em- 
ployee of the area board who is ap- 
pointed by the area board with the 
approval of the division director ac- 
cording to the procedures delineated in 
division publication APSR 105-1. The 
area director is responsible for the ap- 
pointment of staff, for implementation 
of the policies and programs of the 
board, compliance with the standards 
of the commission, and for the super- 
vision of all staff and service programs 
under the auspices of the area board. 

(12) (1Q) "Area Program" means the term as 
defined in 10 NCAC 14K .0103. For 
purposes of these Rules, the term "area 
program" means the same as "area au- 
thority" as defined m 122C-3. a legally 
constituted public agency providing 
m e ntal h e alth, mental r e tardation aft4 
substance abuse services fof a catch 
ment afea designated by the commis 
sion. 

fj-j- K 1 1 ) "Assessment" S e rvic e means the 
term as defined in 10 NCAC 14K .0103. 
a servic e provided to individuals fof the 
purpose of determining the nature a«4 
extent of the problem fof which the m- 
dividual is seeking s e rvic e s. Ref e rral 
services which direct, guide of hok- the 
individual to oth e r scrvice(s) are pro 
vided as indicat e d. 

( 12) "Atypical development" means the 
term as defined in 10 NCAC J4K .0103. 

f4-4- K 13) "Behavior Modification" means 
the quantifiable application of one or 
more contingencies in a deliberate at- 
tempt to increase or decrease the fre- 



NORTH CAROLINA REGISTER 



1043 



PROPOSED RULES 



qucncy of a specified action or behavior 
of an individual. 

(-4-H f 14) "Catchment Area" means a ge- 
ographic portion of the state served by 
a specific area mental health, mental 
retardation and substance abuse au- 
thoritv as specified in 10 NCAC 18W 
.0001-.U003 (division publication APSE 
105-2). 

(4-fr- H 1 5) "Certified alcoholism counselor" 
means an individual who is certified by 
the North Carolina Alcoholism Coun 
selor Substance Abuse Professional 
Certification Board. 

t-P4 < 16) "Certified drug abuse counselor" 
means an individual who is certified by 
the North Carolina Drug Substance 
Abuse Professional Certification Board. 

( 1 S> ( Pi "Certified substance abuse coun- 
selor" means an individual who is cer- 
tified by the North Carolina 
Alcoholism Counselor Certification 
Board »»4 bv the North Carolina Drug 
Substance Abuse Professional Certif- 
ication Board. 

( i Si "Child" means the term as defined in 
10 NCAC 14K .H103. 

(19) "Chronically mentally ill adult" means 
the term as defined in W NCAC 14K 
.0103. at* mdi' . lduul 4A v ears el a^e h* 



older who as a result el mental illness: 
(-a+ has expenenced three t+f more epi- 
sodes (-the number el s e rvic e program 
e nrollments during a period ef- time) el 
treatment le-* intensive than inpatient 
h* the ka-4 y e ar, ef ha* expenenced tw-t+ 
psv chiutnc hospitalizations m a 
12 month period. ef ha* ba4 a total ol 
at- least 44 months el psychiatric treat 
ment; a«4 
ffe+ ah** sutlers impaired Ft4e functioning 
requiring long term intervention m fcwe 
ef more el the following areas: voca 
tional. social, financial, residential, f*- 
reational. ef basic hie •■ kill -. . 
f4U+ "Client" means ae individual who f* 
admitted k+r a&4 rcceiv mg serviceo 
from. a» area program ef a component 
el the ar e a program ef contract agency. 
Within the context el the standards eh- 
ewt i-» used interchangeably with "pa 
tient". "member", "child" a«4 
"r e sident." 



hJ4- H20) "Client care evaluation study" 
means evaluation of the quality of ser- 
vices by measuring actual services 
against specific criteria through col- 
lection of data, identification and justi- 



fication of variations from criteria, 
analysis of unjustified variations, cor- 
rective action, and tollovv-up study. 

(43 H21 ) "Clinical staff member" means the 
term as defined in 10 NCAC 14K .0103. 
a professional who provides active 
treatment te a client. 

(33) "Commission" m e ans Commission tef 
Mental Health. Mental R e tardation *m4 
Substance Abuse Services. 

*44- H22i "Component" or "program com- 
ponent" means a service developed to 
meet a particular need. The program 
component is provided either through 
operation by the area program or 
through contract with a public or pri- 
vate agency. 

(-3»+ (23) "Contract agency" means a legally 
constituted entity with which the area 
program contracts for a service(s) as 
defined in the standards exclusive of in- 
termittent purchase of service for an in- 
dividually identified client. 

(46-H_24_) "Criminal justice system" means 
a network which includes such elements 
as law enforcement, attorneys, the judi- 
ciary . adult corrections programs, (in- 
cluding prisons, probation and parole) 
and youth corrections programs. 

f4^H_25j "Day night service" means a ser- 
vice provided on a regular basis in a 
structured environment for a specified 
portion of a 24-hour period for the 
purposes of socialization, reintegration 
into the community, work readiness, 
rehabilitation, recreation, or as an al- 
ternative to hospitalization. 

(4S- K26) "Detoxification" means the term 
as defined in 



10 NCAC 14K .0103. the 



4 withdrawal el a» individual 
from alcohol ef other drugs » order 
that the individual eae participat e » 



r e habilitation activities. 
(39) "Developm e ntal Disubilit 
sev e r e 



means a 
chronic disability el a person 



which: 

fa} k attributable te a mental ef physical 
impairment ef combination el mental 
afh4 physical impairments: 

(4>f i» manifested before the person attains 
age twenty two; 

fe) is lik e ly te continue indefinitely; 

(4} results » substantial functional him 
tations » three e* more el the following 
areas el major I4e activity: sell care, fe- 
ceptive ae4 expr e ssiv e language, cupiic 
rtv lef independent living, learning. 



1044 



\ORTH CAROLISA REGISTER 



PROPOSED RULES 



(27 



mobility, sell direction t+«4 economic 
sufficiency; af*4 
(e) reflect ' . ' toe person ii need fof a com 
bination ftftd sequence to sp e cial, inter 
disciplinary, b* generic cure , tr e atment, 
&f other sen ices which a*e to lifelong 
ef extend e d duration atto afe individ 
uully planned *h4 coordinated. 

" Developmental delayed children'' 
means the term as defined m J_0 NCAC 
14K .0103. 



28J "Direct care stalT' means the term 
as defined in 10 NCAC 14K .01(13. a» 
individual who provide ii car e , treatment 
t+f rehabilitation hubilitation sef*4ees to 
clients eft a continuous a«4 regularly 
scheduled basis. 

(31 ) (29) "Disability group" means either 
the mentally retarded, mentally ill, or 
substance abusers. 

(32) (30) "Disaster relief planning" means 
arranging for the provision of crisis 
counseling to survivors of major natural 
or man made catastrophies in accord- 
ance with the provisions of P.L. 93-288. 

(-44- H 3 1 ) "Dispensing medication" means 
the term as defined in 10 NCAC UK 
.0103. issuing - to a client, t»f to a person 
acting e» tos behalf. *-me »* more wto 
doses ef a medication m- a suitable 
container with appropriat e labeling. 

(44- K32) "Division" means the same as the 
term "DM11 MR/SAS" as defined in 

Division to 



Mental Health. Mental ■ 

Substance Abuse Services ef toe North 

Carolina Department to 1 lumun Re- 

sourccs. 

(35) (33) "Documentation" means the term 
as defined in 10 NCAC 14K .0103. 
provision to written, dated em4 authen 
ticated es idence to toe delivery 1 to client 
services Bf compliance with standards. 
ergrr entries m- toe client record, policies 
afto procedures, minutes to meetings, 
memoranda, reports, schedules, notices 
*h4 announcements. 

(36) (34) "Drug abuse" means the term as 
defined in 1~() NCAC 14K .0103. toe 
pathological t±se to drug s tor- to least 
»«e month toto causes impairment » 
social Bf occupational functioning. 

(4^ (33) "Drug dependence" (addiction) 
means the term as defined m J_0 NCAC 
14K .0103. physiological dependence 
evidenced by- either toe development to 
a stat e to tolerance *+f toe manifestation 
to toe withdrawal svndrome lollowina 



toe cessation ef reduction m toe H>e to 
toe drug. Drug dependence w* most 
instances t* manifested by- a pattern to 
pathological drug t»e toto causes iwt- 
pairment m social e* occupational 
functioning. Pe* Cannabis dependence 
a pattern to pathological «*e ©f impair 
ment to social e? occupational func 
tioning i§ present. 44*e diagnosis to 
drug dependence does Hto imply e* m- 
clude toe diagnosis to mental illness, 
even though a ttoal primary diagnosis 
tor- both drug dependence asto mental 
illness m&r coexist. 

f4&} (36) "Fmergency sendee" means an 
assessment service which is provided on 
a 24-hour non-scheduled basis to indi- 
viduals for immediate 
screening/assessment of presenting 
problems. Crisis intervention or refer- 
ral to other sendees are provided as in- 
dicated. These senices may be 
provided either in a hospital or non- 
hospital setting. 

f4£+ "Fxccption" means a» individual 



at ion to which toe commission indicates 
by- a final agency decision m- a contested 
ease toto aft afe« program e* contract 
agency » wto required to comply with 
a specific standard. A-» exception to a 
standard h> granted according to toe 
provision to 44) NCAC 4** 4444*. 

(40+ "Facility" means toe physical area, «- 
eluding both buildings afto grounds, 
wliich hs under toe auspices to toe pro 
gram component. 

( ■ I 1 ) (37) "First aid" means the term as de- 
fined in J_0 NCAC 14K .0103. emep- 
gency treatment fof injury Sf sudden 
illness before regular medical eafe is 
available. First ato includes artificial 
respiration, toe 1 Ieimlich maneuver, 
eafe to wounds &&4 bums. a«4 tempo 
rar-y administering e4 splints. 

(12) ( 38) "Follow along" (for mental retar- 
dation client) clients) means provision 
by the agency for a continuing re- 
lationship with the client for the pur- 
pose of assuring that the client's 
changing needs are recognized and ap- 
propriately met. 

(4rH ( 39 ) "Foster Parent" means an indi- 
vidual who provides substitute care for 
a planned period for a child when his 
own family or legal guardian cannot 
care for him; and who is licensed by the 
N.C. Department of Human Resources 
and supenised by the County Dcpart- 



NORTH CAROLINA REGISTER 



1045 



PROPOSED RULES 



mcnt o( Social Services or by a private 
program licensed or approved to engage 
in child care or child placing activities. 

(-444 (40) "Governing bodv" means the term 
as defined in JO NCAC 14K .011)3. 
those person who hy- law, chart e r, urti 
ele* Bf incorporation. partnership 
agreement, 9f oth e r legally rccogm/ed 
milliner have t-H+1 legal authonty fof the 
overall operation b+ the program. 

(4§) "(. iuurdiun" meaas a pefsea appointed 
by a court b+ comp e tent jurisdiction £bf 
the purpose b4 performing duties related 
k* the care, custody bf control bI the 
client which include, h«t af» fh-4- limited 
tBr consenting fbf medical surgical pro 
cedures Bf treatment procedures a«4 
handling b+ besmess Bf l e gal affairs, fe 
the case b+ a minor, "guardian" mean ;, 
a parent bf person r . tunding m- h>eB 
parentis excluding the component. 

(46} "1 luhilitation" means education, train 
hfgr ea*e c+h4 specialized therapies Hft- 
dertaken tB assist a client m- achieving 
bf maintaining progress ff> develop 
mental skill areas. 

f4^4 (41 ) "He His Him" means pronouns 
used throughout these standards for 
convenience and consistency for refer- 
ence to both sexes. 

(42) "I ligh risk children" means the term 
"~ as defined in 10 NCAC I4K .0103. 

means the 
I4K .0103. 



f4>i->- (43) "Hours of operation' 
term as defined in 10 NCAC 



aft indication ei the minimum opera 
tional hours that a sen ice f* expected 
t# Be availabl e tB l li e nt -. . b«t FFBt pro 
hihiting the typical closing b£ a senic e 
tB accommodate holidays, vacations. 
Staff development activities af>4 weather 
awd- facility related conditions. 

<4% (44) "Individual goal plan" (for clients 
% ho afe mentally retarded) with mental 
retardation or otherwise devclop- 
mentallv disabled) means the term as 
defined in _10 NCAC 14K .0103. a 
written plan v . Inch includes measurable, 
date specific, short range objective '. 
which aft* assessed a«4 developed bf 
restated at l e ast quarterly based Bft the 
strengths aw4 needs b£ the client aftd- 
which identifies specific stall' rcsponsi 
hiliti e-. an4 r e lat e s tB the annual indi 
vidual program plan. 

f4U+ (45) "Individual program pkm'' (for 
clients who ate mentally retarded | with 
mental retardation or othenvise devcl- 
opmentallv disabled) means the term 



as defined in 10 NCAC 14K .0103. a 
written plan which includes long range 
objectives f-Bf the client bas e d bh e val 
uations, obscnations tm4 other client 
assessment data aftd which is e stab 
lished within W4 days following admis 
»Bft b£ the client aed- assessed *r4 
redeveloped at least annually from the 
date b£ placement. 

(-54-H_46j "Individualized education pro- 
gram" means a written statement for a 
child with special needs that is devel- 
oped and implemented pursuant to 16 
NCAC 2E .1500 (Rules Governing 
Programs and Senices for Children 
with Special Needs) available from the 
Department of Public Instruction. 

(-53- K47) "Individual treatment plan" (for 
mental health substance abuse clients) 
means the term as defined in J_0 NCAC 
14K .0103. a pk» ei treatment fof the 
client initiated within 34 hour '. b£ ad- 
mission tB a treatm e nt program (pre 
liminary treatment plan) aftd- 
implemented at l e ast within 444 days Bf 
admission. 44+e plan contains , time 
specific short aftd- long term goals aftd- 
identities dir e ct eafe *taft responsible tBf 
the provision b+ treatment aftd rehabili 
tution senices tB the client. 4-be mdi 
v idual treatment plan fs- synonymous 
with the individual sen ice plan. 

(4S) "Infant" means the tenn as defined in 
10 NCAC 14K .0103. 

(53 fr { 49] "Inpatient sen'ice" means a ser- 
vice provided in a hospital setting on a 
24-hour basis under the direction of a 
physician. The senice provides con- 
tinuous, close supendsion for individ- 
uals with moderate to severe mental 
health or substance abuse problems. 

(5 1 ) (50) "Justice treatment sen'ices" means 
consultation, treatment or educational 
sen'ices offered by the area program to 
components of the criminal justice sys- 
tem for individuals who have been in- 
dicted, prosecuted or incarcerated. 

(■»» H 5 1 ) "Legend Drug" means the tenn 
as defined in ]0 NCAC 14K .0103. a 
drug that cannot he dispensed without 
a prescription. 

(4^ "Mechanical Restraint" means limita 
tn+p b4 the cli e nt s freedom b+ move 
mcnt with the intent s+> controlling 
beha' i lor by- mechanical devic e s vv Inch 
include, httt afe ftBt limited tBr cufls, 
ankl e '. traps, sheet '. Bf r e straining shirts. 
h- dees ftBt includ e therapeutic restraint 



1046 



SORTH CAROLI.XA REG ESTER 



PROPOSED RULES 



©f enabling devices ese© fof medical 
conditions ©f t© assist a non ambulu 
t©fy client to maintain a normative 
body position, h alse iees set include 
handcuffs used fof e scorting purposes 
with forensic clients. 

(42- H52) "Medication" means the term as 
defined in J_0 NCAC 14K .0103. a 
substanc e recognized i» the ofTicial 
"United States Pharmacopoeia" e* 
"National formulary" intended fof ese 
ift the diagnosis, mitigation, tr e atm e nt 
e* prevention ef disease. 

45&) "Mental lllneoo" means en* emotional 
disorder which se lessens the capacity 
ef the p e rson t© ese self control, judg 
ment a«4 discretion h* the conduct ef 
hi* alfairs aft4 social relations a* t© 
make tt necessary ©f advisable £©f hh» 
t© he und e r treatment, supervision, 
guidance ©f control. 

{SO} "Mental R e tardation" means signif 
icantly subaverage (i.e., tw© ©f more 
standard d e viations b e low the m e an) 
general intellectual functioning existing 
concurrently with deficits » adaptive 
behavior tm4 manifested during the 4e- 
vulopmental period (i. e ., b e for e age 4-8^ 

(40- K 53) "Minor client" means the term as 
defined in 10 NCAC 14K .0103. a 
person under 4-8 y e ars , el «ee who has 
set been married ©f who has fte* been 
emancipated by a decreo issued by a 
court of- competent jurisdiction 9* is »©t 
a member ef the armed forces. 

(4h> (54) "Normalization principle" means 
the principle of helping individuals to 
obtain an existence as close to normal 
as possible by making available to them 
patterns and conditions of every day life 
that are as close as possible to the 
norms and patterns of the mainstream 
of society. 

ffc^ (55) "Nurse" means the term as de- 
fined in 10 NCAC 14K .0103. a person 
licens e d t© practice m the Stat e ©f 
North Carolina either as a registered 
nurse « »» licensed practical nurse. 

fej- K 56) "Parent" means the term as de- 
fined in 10 NCAC 14K .0103. the hi- 
ological ©t adoptive mother ©f lather 

J^ T ' i *->T i n ■ \ r . -liLitit i~\ f 1 1% . > r\ . \ «-. jmi t-A Qjaj I » »i ■ i 
l ? I cT I I I 1 1 1 1 > 1 CnVITTi O I I 1 H~ I'LI .".'11 3 I H 1 1 (.1 I I I E 

ift l©e© par e ntis excluding the facility, 
©f the legal guardian ©f a minor client. 
f44-H57| "Peer review" means the formal 
assessment by professional staff of the 
quality and efficiency of services or- 



dered or performed by other profes- 
sional staff. 

(4£ fr(58) "Periodic service" means a service 
provided through short recurring visits 
for individuals who are mentally ill, 
mentally retarded or substance abusers 
who can function in their normal envi- 
ronment. 

(-64) "Physician" means a medical doctor 
who is licensed t© practice medicine i» 
the Stat e ©f North Carolina under the 
provisions ef G^r 0Q-4&T 

(42) "Practicing Psychologist" means a 
psychologist wh© is lic e nsed as a prac 
ticing psychologist i» the State ef North 
Carolina. 

(68) (59) "Prevention/intervention service" 
means a service provided to the general 
public or major segments of a commu- 
nity. Service activities include coun- 
seling, information, instruction, and 
technical assistance with the goals of 
preventing dysfunction and promoting 
well being. 

(6Q) (60) "Privileging" means a process by 
which each staff member's credentials, 
training and experience are examined 
and a determination made as to which 
treatment habitation modalities he is 
qualified to provide. 

(70) (61') "Program evaluation" means the 
term as defined in 10 NCAC 14K .0103. 
the systematic documented assessment 
ef program activity t© dctcrmino the ef- 
fectiveness, efficiency, aftd- scop e ef the 
system under investigation, te define its 
str e ngths aftd weaknesses a»4 thereby 
te provide a basis £©f informed deci 
oion making. 

(-24- K62) "Psychiatric nurse" means the 
term as defined in 10 NCAC 14K .0103. 
ae individual who is licensed te practice 
as a registered nurse i«- the State ef 
North Carolina hy the North Carolina 

IJ.i'L.-, I si t X nr.'inn • i 1-1 ■ 1 u ilin 1 C a QJQ /ln.il.i 

ui'iiiu v. 1 1 1 nzmaic in iu tttttt ttt cr ctttttttttttt 

ef aft accredited master's lev-el program 
» psychiatric mental health nursing 
with tw© y e ars ef experience, ef has a 
master's degr ee ift behavioral sci e nc e 
with tw© years ef supervised clinical 
experience, ef has few years ef expeii 
enco ift psychiatric mental health nurs 



(72) (63) "Psychiatric social worker" means 
the term as defined in K) NCAC 14K 
.0103. aft individual who holds a mas 
tet^ degree ift social work from aft ae- 
cr e dited school ef social work aft4 has 



NORTH CAROLINA REGISTER 



1047 



PROPOSED RULES 



.e ar *. of clinical serial work l»k pun 



k3-M ( M ) "Psychiatrist" means the tenn as 
defined in JO NCAC 14K .011)3. a» 
individual who f* licensed to practic e 
medicin e h+ the State of North Carolina 
a»4 who has completed aft accr e dited 
training program o* psychiatry. 

(?44 {65) "Psychotherapy" means the tenn 
as defined" in 10 NCAC 14K .0103. a 
lonn of treatment of mental illness of 
emotional disorder -, which is based pri- 
marily upon verbal of turn verbal com 
nuinication with the patient 
Treat ment fs provided by a trained 
prole '. ». ional tof the purpose of remov 
Foe. ef moditv tag existing symptoms, ef> 
attenuating of reversing disturbed pat- 
terns of behavior, aod t-4 promoting 
positive personality growth a«4 devel 
opm e nt. 

(3S} ( 66 1 "Psychotropic medication" means 
the term "as defined in ]0 NCAC 14K 
.0103. medication with the primary 
function t-4 treating mental illn e ss, oef- 
sonality of behavior disorders. These 
medication ', include r hot afe Hot limited 
tor antipsychotics, antidepressants, ffh- 
oof tranquilizers rt«4 lithium. 

(-#4 (67) "Qualified alcoholism 

professional" means the tenn as defined 
in 10 NCAC 14K .0103. ao individual 
who is certifi e d by the North Carolina 
Alcoholism Counselor Certification 
Board of vv ho is a graduat e of a college 
of university with a baccalaureate of 
advanced degree fff a human service Fe- 
lat e d field with documentation of at 
least t*t* y ear -. of supervised experience 
Fft the profession of alcoholism coun 
seling. 

f?^ (<>S) "Qualified client record manager" 
means an individual who is a graduate 
of a curriculum accredited by the 
Council on Medical Education and 
Registration of the American Medical 
Record Association and who is cur- 
rently registered or accredited by the 
American Medical Record Association. 

(3&X69) "Qualified drug abuse 

professional" means the term as defined 
in 10 NCAC 14K .0103. aa individual 
who fs certified hy- the North Carolina 
Drug Ahii '. e Professional Certification 
Hoard of w ho fs a graduate of a colleg e 
Of univer '. ity with a baccalaureate Of 
adv iinced degree ff> a human servic e re- 
hited field with documentation of at 



least two y ears , of supervised experience 
m the profession of drug abuse coun 

I 70) "Qualified mental health profes- 
sional" means the tenn as defined in j_0 
NCAC 14K 



.0103. 



■ I t\ y i \fi t ^ • \i t Vi±± t , 1 1 

umt <. ' i rv trr rrtt? 1 l ti 

lowing: psychiatrist, psychiatric nurse, 
practic i ng psychologist, psychiatric so- 
taal worker, aft individual with a mas 
ter s degree Fft a related human service 
field aftd two years of supervised clinical 
experience fff mental h e alth services of 
ao individual with a baccalaureate de- 
gree i» a related human service field aftd 
foof years , of supervised clinical e xp e ri 
unce m mental health services. 
(-{■44 (71) "Qualified mental retardation 

professional" means the same as the 
tenn "Qualified developmental disabili- 
ties professional" as defined in 10 
NCAC 14K .0103. aft individual who 
holds at least a baccalaureat e degree to 
a discipline related to developmental 
disabilities, of holds a license , to practice 

H i i t-. < » \ , | ■ . «--\ . 1 ii ■ I M-i l-i 'i £• a t \ ■ 1 " c i -~^ Q Q i . t l i 
'. I ! ' 1 1 T ™ J CTTTTT »t I III 1 III ■ I til 1 LU 3 1 U 1 IV. T till 

of experience fft working with mentally 
ret anled individuals. 

(§44(721 "Qualified nutntionist" means the 
term as defined in JO NCAC 14K .0103. 
ao iiulividual who has a master's degre e 
m nutrition, nutrition education of 
public health nutrition af>4 who may 
of may oot be a register e d dietitian. 

(-^J4 ( 73) "Qualified substance abuse pro- 
fessional" means the term as defined in 
JO NCAC 14K .0103. ao individual 
who fs certifi e d hy the North Carolina 
Alcoholism Counselor Certification 
Hoard aftd the North Carolina Drug 
Abuse Professional Certification Board 
of who is a graduate of a college of 
univer '. ity with a baccalaureate Of ad- 
vaiiced degree m- a human servic e re- 
lated ht44 with documentation of at 
least two years of supervised experience 
to the profession of alcoholism t±&4 
drug abuse counseling. f» addition, at 
l e ast M) percent of the qualified sub 
stance abuse professional's work expe 
rienc e must he i» the profession of 
alcoholism m^4 drug abuse counseling. 

(-X4 K 74 ) "Registered dietitian" means the 
term as defined in 10 NCAC 14K .0103. 
aft individual who has successfully 
completed a national examination fof 
the Commission oh- Diet e tic Regi '. tra 
ttoft a«4 maintains reuistration vvith 



104S 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



tl+at- commission through approved 
continuing education activities events. 
(75) "Rehabilitation" means the term as 
defined in 



defined in 



NCAC 14K.( 
Research" means 
NCAC 14K 



the term as 



. H 103. in- 
quiry involving a tnal e>f special ohser 
vation made under conditions 
determined by tb<* investigator t*4 con 
fi««- t+? disprove aft hypothesis, t*f te 
explicate som e principle «* effect. 

( S 5) (77) "Research review board" means 
a group comprised of at least five 
members which has the authority to 
approve, require modification, or dis- 
approve proposed research projects of 
the area program or its contract agen- 
cies. Individuals not directly associ- 
ated with research projects under 
consideration comprise a majority of 
the review board. The review board 
may be established by the program 
conducting research activities or by an- 
other public or private agency, institu- 
tion or organization. 

(S6') (7S) "Residential service" means a 
service provided in a 24-hour living en- 
vironment in a non-hospital setting 
where room, board, and supervision are 
an integral part of the care, treatment, 
habilitation or rehabilitation provided 
the individual. 

(79) "Respite episode" means the term as 
defined in 10 NCAC 14K .0103. 

(SO) "Screening" means the term as defined 
in 10 NCAC 14K. .0103. 

£S7+ "Seclusion" m e an ?, isolating a client m 
a ouparatu lock e d room h* a room from 
which he cannot e*rt fo? 4n* purpose 
©f controlling a cli e nt s behavior, ke- 
clusion does sot- include time e«t 
rooms which a#e h©4- locked. 

(SS) (8 1 ) "Severely physically disabled per- 
son" means for the purpose of ADAP 
(Adult Developmental Activity Pro- 
gram) the term as defined in J_0 NCAC 
14K .0103. a person: 
fa+ who ha* a severe physical disability 
which s e riously limits b» functional ca- 
pabilities (mobility, communication, 
self care, self direction. V i ork tolerance 
Bf work sldlls); 
fb-^ who has e#e ©f more physical disa 
bilities resulting from amputation, a^- 
thntis. blmdness. cancer, cerebral palsy, 
cystic fibrosis, deafness . , heart disease, 
hemiplegia, hemophilia, r e spiratory ©f 
pulmonary dysfunction, multiple scler 



©«*r mus i cular distrophy, musculo sk 
eletal disorders, neurological disorders 
(including stroke an4 epilepsy), para 
plegia, quudnpl e giu, aft© other spinal 
cord conditions, sickl e e«44 anemia an4 

."**-> ' < . • * ' ' ' * ■ * V. \V-l ll . IlL'U'lt t j' ■ 1 tA H 

L. ! 1U '.'111 EO 1 I. ! IUI (_I I .'I.U .'\- , CTTTTT 

fe) whoso habilitation ©f rehabilitation 
ea» bt* expect e d t© require multiple ha- 
bihtation ©? rehabilitation sen ices over 
a» e xtended period ©f tune 

f£Q4 (S2) "Standard client record" means a 
written account of all services provided 
a client from the time of formal accept- 
ance of the client by the area program 
or contract agency until termination of 
services. This information is docu- 
mented on standard forms which are 
filed in a standard order. 

(Q0) (S3) "Standards" means minimum 

standards defined m &&r 122 35.36(9) 
as specifications of the required basic 
levels of activity and required basic lev- 
els of human and technical resources 
necessary for the implementation and 
operation of mental health, mental re- 
tardation and substance abuse pro- 
grams. Standards are officially titled 
"Standards for Area Programs and 
Their Contract Agencies", are codified 
m 10 NCAC 181 Through 18Q and are 
published by the division as APSM 
35-1. 

(-Q4- K84) "State facility" means a facility 
operated by the division and which 
provides mental health, mental retarda- 
tion or substance abuse services. 

(-97* 4(85') "Student" means an individual 
who is participating in a prescribed 
course of instruction, for example, an 
individual who is enrolled in an alcohol 
and drug education traffic school or a 
drug education school. 

f9©4 "Substance Abuse" means abuse ©f 
alcohol ©f other drugs. 

(£44 (86) "Substantially mentally retarded 
person" means the term as defined in 
10 NCAC 14K .0103. for the purpose 
©f ADAP a person who is mentally f©- 
tarded t© tb© degree ©£ seriously limiting 
h» functional capabilities, whose habil 
itation ©f rehabilitation eaft be expected 
to e xt e nd ov e r a p e riod ©f time, aft©. 
including: 
(a) moderately mentally retard e d persons: 
fb4. s e verely mentally retarded persons: 
(e) profoundly mentally 
©t 



NORTH CAROLINA REGISTER 



1049 



PROPOSED RULES 



(4+ mentally retard e d pef§eas wttb a 
handicapping condition st» sovoro a* t» 
taeb tbe potential fof employment at 
tbis tim e , either h* a sheltered ef com 
petitive setting, b* addition, ouch indi 
vidua! ij mu ' .it hav e a deficit » self help, 
communication, socialization w oocu 
pational skills a»4 be recommended by 
tbe vocational rehabilitation counselor 
fbf consideration ef placement » a» 
ADAP. 

(95) (87') "Support service services" means 
the term as defined in _10 NCAC 14K 
.011)3. a service provided t» onhanco 
aft individual's progress ift 14s primary 
treatment habilitation program. 

( 1 > 6) (8S) "Telephone counseling service" 
means an organized and publicized ser- 
vice providing short-term supportive 
counseling, referral, crisis intervention 
and information. 

(97) (89) "Testing services" means the ad- 
ministration and interpretation of the 
results of standardized instruments for 
the assessment, diagnosis or evaluation 
of psychological or developmental dis- 
orders. 

(flS) CJO) "Utilization review" means ex- 
amination of the appropriateness of ad- 
mission, services ordered and provided, 
length of treatment and discharge prac- 
tice usually on a concurrent basis. 
Utilization review focuses upon the in- 
dividual client. 

fQ% (Ql) "Vocational rehabilitation 

services" means services available to el- 
igible mentally and physically disabled 
citizens who, with reasonable accom- 
modations, can perform the essential 
function of the job in question as de- 
fined in the Rehabilitation Act of 1973 
(P.L. 93-1 12 as amended). 
(b) In addition to the definitions contained 
in this Rule, the terms defined in (US. 122C-3 
also apply to all the Rules in this Subchapter 
and Subchapters 141 through. 140 of this 
Chapter. 

Statutory Authority G.S. 122C-3; 143B-147. 

SUBCHAPTER 18.1 - AREA PROGRAM 
MANAGEMENT STANDARDS 

SECTION .0400 - PROGRAM PLANNING 

.0408 INTRODUCTION (REPEALED) 

.0409 ANNUAL PLAN OF WORK (REPEALED) 

Statutory Authority G.S. I22C-143; 143B-147. 



SECTION .0600 - STATE FACILITY 
RELATIONSHIPS 

.0602 SINGLE PORTAL OF ENTRY AND 
EXIT DESIGNATION 

Each area program shall oorvo a* tbe primary 
portal ef- entry aft4 e*ff fof its catchment a^ea 
clients i» state facilities oxcopt tbe North Ga- 
rolina Special Care C e nt e r m Wilson, author- 
ity desiring designation as a single portal area 
shall comply with the requirements of G.S. 
122C-132. 

Statutory Authority G.S. 122C-132; 143B-147. 

SECTION .0700 - QUALITY ASSURANCE 

.0709 CROSS-REF TO CLINICAL 

SUPERVISION OF SUBSTANCE 
ABUSE STAFF 

fa} Each component shall implement a 
written plan »f clinical supervision fop staff 
who provide substanco abuse clinical sorvicoo 
a«4 who afe »et qualified alcoholism, drug 
abuse &f substance abuso prof e ssionals. 

(bf Each clinical staff member who is F*»t a 
qualified alcoholism, drug abuso e* substance 
abuse professional shall have a» individual 
plan el clinical supervision. 

(e} Each clinical staff member whoso primary 
afee ef service delivery is alcoholism shall be 
supervised by- a qualified alcoholism profos 
sional ef by- a qualified substanco abuso pro 
fossional. 

(4} Each clinical staff m e mber whoso p«- 

TTTCTT ▼ m^TTT I Tl Bv3 ¥ fvV U V.T ITVf T IT7 UJ 1!" CTC^mW rTTTTTT 

be supervised by a qualifi e d drug abuso pro 
fossional en 1 by a qualified substanco abuso 
prof e ssional. 

\ \~ j mrn i. i l i i ivui rrmrT 1 1 rei 1 1 1 'i_'i ti rqoo i'iiiiiiii t 

afea &{ servic e d e livery is both alcoholism aft4 
4f«g abuso shall be supervised by a qualified 
substanco abuso professional. 

(a) Clinical supervision of substance abuse 
staff shall be implemented according to the 
provisions of 10 NCAC 14K .0319 (b) (3), (4) 
and (5). 

(b) For purposes of the Rules of this Section, 
the term "facility" in 10 NCAC 14K .0319 
shall be interpreted to mean "component". 

Statutory Authority G.S. 143B-147. 

.0712 EMPLOYEE EDUCATION AND 
TRAINING 

(a} Each component shall provid e &f secure 
orientation programs a«4 annual continuing 
education a«4 training fof employees te- eft- 



1050 



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PROPOSED RULES 



ha ne e their competencies cm4 kaewledge 
ne eded to administer, manage *h4 deliver 
quality sefviees; 44+e education ««4 training 
activities shall address at a minimum the needs 
hl ontifiod by tfee quality assurance pro coos *h4 
re atcd committees. 

f^ Each component shall asswe the main 
tenance e£ aw- ongoing record e+ ah education 
fcH+4 training activities provided of seewed to* 
employees. 

{.i± Each component shall comply with the 
pr ovisions of HI NCAC UK .0307. 

(b| lor purposes of the Rules of this Sec tion. 



the term "facility' 



in 



10 NCAC 14K .0307 



shall he interpreted to mean "component' 



Statutory Authority G.S. I43B-147. 

SUBCHAPTER I8L - PROGRAM 
COMPONENT OPERATIONAL STANDARDS 

SECTION .0300 - FACILITIES 
MANAGEMENT 

.0333 CROSS-REFERENCE TO INDOOR 
ACTIVITY SPACE 

(a+ Each facility ' . . hall have a reception area 
fof clientr . a«4 visitors. 

fb4 liach facility '. hall have private space fcvf 
intervi e ws a«4 conference ', with clients. 

Each residential and respite facility shall 
comply with the provisions of j_0 NCAC 14K 
.0325 (1). 

Statutory Authority G.S. 143B-147. 

.0334 CROSS-REFERENCE TO OUTDOOR 
ACTIVITY SPACE/EQUIPMENT 

/'I I I )f, -t . r-w ■ «-»-i , 1 li - i t nr; 1 i ■ « . 1 . t ■. tn l. 'ti ir.i.l iinl.i.nr 

\U f 1 I II IH Ulll.' 11 111 I I'M M 1UU -' L 1 LI V. I LI I VTI CmTTTTTT^T 

activities fef clients shall provide space that » 
suitabl e fo* the ages a*4 treatment hahrtitation 
needs el the clients served. 
(h4 Outdoor equipment shall he maintain e d 

» \ } i \l It i T ' t "" i I ' 1 j T . . 1 ^^^^^J L^^^ 1 | . j 

Each facility shall comply with the provisions 
of ]0 NCAC 14K .0326. 

Statutory Authority G.S. 143B-I47. 

.0337 CROSS-REFERENCE TO INDOOR 
LIVING SPACE 

(a} Each residential facility shall have indoor 
space fof group activities *h4 social gatherings. 



(h} -Phe »**» h* which therapeutic »«4 hahi 
litative activiti e s a*e routinely conducted shall 
he separate from sleeping areas. 

fei Individual space shall he provided fof the 
storage of each resident's personal belongings. 



Each residential and respite facility shall 
comply with the provisions of J_0 NCAC 14k 

.0325 (3), (4) and (S). 

Statutory Authority G.S. /43B-J47. 

.0338 CROSS-REF TO PRIVACY FOR 
PHYSICAL EXAMINATIONS/ 
MEDICAL PROCEDURES 

Wh e n physical examinations of medical ofo- 
ceduros afe performed m a»y c omponent, the 
examination afea shall afford privacy fof the 
client. 

Components performing physical examina- 
tions or medical procedures shall comply with 
the provisions of 10 NCAC 14K .0340. 

Statutory Authority G.S. 1 43 B- 1 47. 

SECTION .0400 - CLIENT RIGHTS 

.0429 CROSS-REFERENCE TO COMPLIANCE 
WITH STATUTES 

In addition to G.S. 122C, Each each compo- 
nent shall implement its services in such a 
manner as to ensure the rights accorded all 
clients as required by the following: 

(4-> G^rr 122 55.1 through 122 55. M <-Pa- 
tients Rights); 

f^jj G.S. 131D-19 through 131D-24 
(Domiciliary Home Residents' Bill of 
Rights); 

(4^(2} G.S. 10SA 150 108A-99 through 
108 A 162 10SA-111 ( ?he Protection of 
the Abused, Neglected or Exploited Disa- 
bled Adult Act); and 

(44(3] G.S. 7A-542 through 7A-552 (Screen- 
ing of Abuse and Neglect for Juveniles). 

Statutory Authority G.S. 7A-542 through 7A- 
552; 108A-I50 through I08A-I62; U5C-Article 
9; 122C-5I through 122C-62; 13 ID- 19 through 
I31D-24; 143B-147. 

.0432 CROSS-REFERENCE TO CLIENT 
GRIEVANCE POLICY 

The governing body of each component shall 
develop a«4 implement a written client griev 
anc e policy which id e ntifies procedures f-of pe- 
view a«4 disposition of client grievances. 
comply with the provisions of J_0 NCAC 14K 
.0328. 

Statutory Authority G.S. 143B-147. 

SECTION .0600 - CLIENT ELIGIBILITY 

.0604 CROSS-REFERENCE TO CLIENT FEE 
FOR SERVICE 



NORTH CAROLINA REGISTER 



1051 



PROPOSED RULES 



The governing body ot each component shall 
develop written policies fef client fee assess 
mont rt«4 collection practic e s, comply with 
the provisions of W NCAC 14K .0309. 

Statutory Authority G.S. 122C-146; 143B-147. 

SECTION .0700 - 
TREATMENT/HABILITATION PROCESS 

.0702 CROSS-REFERENCE TO ADMISSION 

bach Lompononi '. hall have writ ton admission 
procedures which shall include at- least the fet- 
lowing: 

(-44 specification 4 the individual t+f group 
authorized 4+ determine the admission el 
a» individual; 

44 agreement between the residential facility 
rH*4 parent;' , el minor; . , (with the exception 
i-4' mmorr . seeking treatment without paf- 
ental con; . ent ), &f guardians 4 p e rsons 
adjudicated incompetent which shall de- 
lin e at e the responsibiliti e s el both parties 
4f t-he provision 4 medical *h4 dental 
sop . ices, education aF4 other needs; a«4 

44 provisions 14f complianc e with the rules 
e» "Admission Procedures fof Minors e>f 
Persons Nun Compos Mentis 4+ Non 
Restrictive Treatment facilities" as codi 
144 h» 44 NCAC 444* 444444 through 4444 
adopt e d e ll e ctiv e April 4 4-*444 af4 avail 
able fh- division publication APSR ' 15 11. 
II conflicts e xist between the rul e s 4 44 
NCAC 44H- 4444 throuoh 44444 at4 the 
f4<* » 44 NCAC 444 through 4444t the 
more specific a«4 strineent rules shall ap- 
ply, 

(a) bach component shall comply with the 
provisions of 10 NCAC 14K .(1313. 

(b) For purposes of the Rules in this Section, 
the term "facility" m U) NCAC UK. .0313 
shall be interpreted to mean "component". 

Statutory Authority G.S. 143B-147. 

.0703 CROSS-REFERENCE TO ASSESSMENT 

44 bxcept 14f inpatient hospital treatment 
programs f4f individuals who ate alcohol *h4 
other drug abuser ., which •■ hall comply with 
the provision .. 4 444 NCAC 4-44 M43-, eaeh- 
component shall have written procedures fof 
the conduct 4 the admission assessment. 

(4h Those procedures shall delineat e the 
standardized information required which £4 a 
minimum shall include: 

(44 the present condition el the client Fe- 
portod fh- objective, beha 1 . loral terms. 



a«4 where possible a description 4 the 
applicant's condition by significant 
others; 

f4) social, educational aft4 medical histories: 
and. 4 appropriate, vocational, d e vel 
opmental. psychiatric, legal a*4 nutri 
tional histories: a«4 

(4} determination 4r af4 request fefr addi 
tional relerrals i4f special diagnostic 
tests, assessments ef e valuations. If 
ne e ded 

(a) Each component shall comph' with the 
provisions of 10 NCAC 14K .0314. 

(b) I or the purposes of the Rules of this 
Section, the term "facility" in J_0 NCAC 14K 

(1314 shall be interpreted to mean 
"component". 



Statutory Authority G.S. I43B-147. 

.0705 CROSS-REFERENCE TO INDIVIDUAL 
TREATMENT/PROGRAM PLAN 

4*4 bach program component which pro 
vides activ e tr e atm e nt habilitation shall 4e- 
velop a» individual treatment program plan fof 
each client based upon a» evaluation (4 the 
client s condition, asset ;. a*4 needs at4 the Fe- 
sourc e s 4+ meet these needs. 1 his plan shall 
provide a systematic approach 4v the 
treatment habilitation el the client a«4 s«fe- 
stantiate the appropriateness 4 current treat 
ment t>F habilitation goals. 

(4*4 4he individual treatment plan I&f mental 
health af4 substance abuse clients shall be 
consistent w4b the diagnosis at4 shall be t44e- 
umented 4 the client r e cord as follows: 

44 The preliminary treatment plan shall be 
initiated within 44 hours 4 admission 
af4 shall be based up em information 
gathered during the admission assess 
mont. 
434 44e comprehensive treatment plan shall 
be established within 44 4ay-s 4 admis 
4e» at4 shall be based upon informa 
t4» gathered during the evaluation 
process. 
(44 Progress note; , shall be written 4» reflect 
progress towards the goals, a* deline 
ated 4 the comprehensive treatment 
plan. 
44 44+e comprehensive treatment plan shall 
be l e sis e d whenever 4 fs medically t+f 
clinically indicated. 
(-4 A thorougli review 4 the comprehen 
SFV-e treatment plan shall be earned t+wt 
at4 documented ff> the plan at l e ast 
ovorv s+s months. 



1052 



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PROPOSED RULES 



(e) 4foe individual program f4a» fof mental 
rL ' turdatiun clients ahull fee documented fo foe 
client record as follows: 

ffe} -ffee individual program f4a» shall fee 
developed within 60 days following 
placement. 
f3| 4foe plan shall fee assessed a«4 redevol 
oped at least annually from foe date »f 
placement. 
fd4 44te plaft shall fee reviewed as habili 

tatu)n change"; . . 
f-H 44** fdas- shall provide foe basis fof de- 
velopment ef individual goal plans. 
(44 44te treatment . program jfom- shall fee de- 
veloped » partnership wifo foe client &f indi 
vidual acting fo behalf tff foe client. 

(a) Fach program component shall comply 
with the provisions of 10 NCAC 14K .0315. 

(b) For the purposes of the Rules of this 
Section, the term ••facility" in HI NCAC 14K 
.0315 shall be interpreted to mean "program 
component". 

Statutory Authority G.S. 122C-51; 143B-147. 

.0706 CROSS-REFERENCE TO DISCHARGE 
AFTERCARE 

At discharge foe program component shall 
d e velop a writt e n summary e4 foe client s ad- 
mission findings, tr e atm e nt habilitation, con 
dition »» discharge a»d recommendations fop 
lurther programming including responsibilities 
ef foe component, if awy-r following discharge. 

(a) Fach program component shall comply 
with the provisions of ]0 NCAC 14K .0316. 

(b) For purposes of the Rules of this Section, 
the term "facility" in 10 NCAC 14K .0316 
shall be interpreted to mean "program com- 
ponent". 

Statutory Authority G.S. MSB- 147. 

.0707 CROSS-REFERENCE TO SERVICE 
COORDINATION 

fa) Coordination shall fee maintained among 
aH staff members contributing to foe evalu 
ation. planning and treatment habilitation ef- 
fort fof e ach cli e nt. This may fee accomplished 
fo a variety ef ways, such as interdisciplinary 
t e am meetings, interagency meetings and ease 
management. 

rtH Fach program component utilizing shifts 
Bf- relief staff shall d e velop mechanisms to en- 
swe adequate communication among staff Fe- 
garding clients. 

(a) Each program component shall comply 
with the provisions of 10 NCAC 14K .0318. 



(b) For purposes of the Rules of this Section, 
the terra "facility" in K) NCAC F4K .0318 
shall be interpreted to mean "program com- 
ponent". 

Statutory Authority G.S. 143B-147. 

SECTION .0800 - HEALTH PRACTICES 

.0804 CROSS-REFERENCE TO MEDICAL 
EMERGENCIES 

Fach component shall develop and implo 
ment a written f4a» to fee utilised fo medical 
emergencies involving chento. 

Fach governing body shall comply with the 
provisions of 10 NCAC 14K. .0335. 

Statutory Authority G.S. 1438- 147. 

.0805 CROSS-REFERENCE TO EMERGENCY 
INFORMATION 

Each component shall maintain emerg e ncy 
information fof each client which includes foe 
name, address a»d telephone number &f foe 
person to fee contacted fo ease ef sudd e n illness 
e>f accident aftd foe name, address a**d telo 
phone number ef foe cli e nt's preferred physi 
cian. 

(a) Fach component shall comply with the 
provisions of ]0 NCAC 14K .0336. 

(b) For purposes of the Rules of this Section, 
the term "facility" in 10 NCAC 14K .0336 
shall be interpreted to mean ''component". 

Statutory Authority G.S. 143B-147. 

.0806 CROSS-REFERENCE TO EMERGENCY 
CARE PERMISSION 

Upon foe client's; admission, each component 
shall secure a signed statement from foe f>aF- 
eftts ef a minor client (with foe e xception ef 
minors socking treatment without parental 
consent), &f foe guardian ef a» adult adjudi 
cated incompetent granting permission to seek 
e mergency eaee from a hospital e* physician. 

(a) Fach component shall comply with the 
provisions of 10 NCAC UK .0337. 

(b) For purposes of the Rules of this Section, 
the term "facility" in K) NCAC 14K .0337 
shall be interpreted to mean "component". 

Statutory Authority G.S. 143B-I47. 

.0807 CROSS-REFERENCE TO STAFF 
TRAINING FOR MEDICAL 
EMERGENCIES 

During hours ef op e ration ef eaefe 
treatment habilitation component, at least eee 
staff member shall fee available who is trained 



NORTH CAROLINA REGISTER 



1053 



i^^an 



^^■^^B^^Hi^H 



PROPOSED RULES 



m basic f+ft4 ch4t cardio pulmonary r e susci 
latum, Beewe management a«4 the Heimlich 
maneuver. 

(a) I-'ach component shall comply with the 
provisions of 10 NCAC 14K 1 0338. 

(b) lor purposes of the Rules of this Section, 
the term \ lacilitv" in U) NCAC 14K .1)338 
shall be interpreted to mean "component". 

Statutory Authority G.S. 143B-147. 

.0808 CROSS-REFERENCE TO 

RESPONSIBILITY FOR WATER 
SAFETY 

bach component which includes wat e r activ 
rt+e* m tf* schedul e '. hall assttfe tbat a» indi 



o* trained to utilize the particular t e sting in- 
strument being administered. 
Testing services shall be implemented ac- 
cording to the provisions of HJ NCAC 14K 

.0345. 



viduul who h** successfully completed the 
basic rescue rt«4 water safety course h* e« t+»e 
premises , wh e re water safety activities occur. 

(a) Fach component shall comply with the 
provisions of 10 NCAC 14K .0343. 

(b) lor purposes of the Rules of this Section, 
the term "facility" in 10 NCAC 14K .0343 



shall be interpreted to mean "component". 

Statutory Authority G.S. I43B-147. 

.0809 CROSS-REFERENCE TO FIRST AID 
SUPPLIES 

I'uch component shall have access k» fi«4 m4 
supplies m each t-4" its faciliti e s. 

(a) I-'ach component shall comply with the 
provisions of 10 NCAC 14K .0341. 

(b) lor purposes of the Rules of this Section, 
the term "facility" in 10 NCAC 14K .0341 
shall be interpreted to mean "component". 



Statutory Authority G.S. J43B-J47. 

SECTION .0900 - CLINICAL SERVICES 

.0903 CROSS-REFERENCE TO SPECIALIZED 
THERAPIES 

Medical care, physical th e rapy, occupational 
therapy, language a«4 communication therapy, 

• r\ . I mil, inii .-■■■«-. t l It j t 1 1 l-->. i i\f.-ii'i lii) 1-n - i 1 r nil, 1 ■ j r 

ui iu nui .'me, ccn *- TrrnrT rr r t t " i hivti i * ™ , v m li 1 1 \.i n 

t4*e direct supervision t-4r individuals 
liccnscd/rcgistcred te- perform these activities. 

Specialized therapies shall be implemented 
according to the provisions of J_0 NCAC 14K. 
.0344. 

Statutory Authority G.S. 143B-147. 

.0904 CROSS-REFERENCE TO TESTING 
SER\ ICES 

Psychological, developmental, educational 
rt«4 intelligence testing shall be performed by 
staff t*f e valuators w+k» we licensed, c e rtified 



Statutory Authority G.S. 143B-147. 

SECTION .1000 - MEDICAL SERVICES 

.1002 CROSS-REFERENCE TO PHYSICIAN 
RESPONSIBLE/MEDICAL SERVICES 

A physician shall hav e responsibility fof the 
provision fff m e dical services associated wffh 
m e ntal health, mental retardation a«4 suh- 
stance abuse needs e£ clients. 

l ; ach component providing medical services 
shall comply with the provisions of U] NCAC 
I4K .0339. 

Statutory Authority G.S. 143B-147. 

.1004 CROSS-REFERENCE TO LABORATORY 
POLICIES AND PROCEDURES 

44+e governing body tff e ach component 
which orders , laboratory tests shall develop a 
written policy which sp e cifies the procedures 
k+ be follow e d »tt4 the authorization required 
kw these tests. 44*e policy shall specify who 
shall b e ar the financial responsibility f+»f these 
laboratory procedures. 

(a) The governing body of each component 
which orders laboratory tests shall comply 
with the provisions of K) NCAC 14K .0346. 

(b) I or purposes of the Rules of this Section, 
the term "facility" in _U) NCAC 14K .0346 
shall be interpreted to mean "component". 

Statutory Authority G.S. I43B-147. 

.1005 CROSS-REFERENCE TO LABORATORY 
ACCREDITATION 

l'dch component which ord e rs laboratory 
tests shall assure that such services afe pe^ 
formed by a laboratory accredited by at l e ast 
i-we recognized accredit ing agency such a* the 
Joint Commission €►» Accr e ditation ef llospi 
tahr the 4— &r Department tff I lealth aftd- J+h- 
man Servic e s, National Institut e tff Mental 
I lealth, *h4 the College tff American I'atholo 
S* !, t s ■ 

The governing body of each component 
which orders laboratory' tests shall comply 
with Uie piovisions of U) NCAC 14K .0347. 

Statutory Authority G.S. 143B-147. 

.1006 CROSS-REFERENCE TO 

DOCUMENTATION OF LABORATORY 



1054 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



TESTS 

bach component -. hull document m the client 
record the following information regarding 
each laboratory te*t administered: 
(-14 nam e aftd- date ef any- laboratory tost(s) 

order e d; 
(-24 name ef physician ord e ring testt 
(4-) date aftd- time specimen obtained; aftd- 
(-4-)- original copy ef the report ef laboratory 
test results. 

(a) The governing body of each component 
which orders laboratory' tests shall comply 
with the provisions of 10 NCAC 14K .0348. 

(b) For purposes of the Rules of this Section. 
the term -facility" in ]0 NCAC 14K .0348 
shall be interpreted to mean "component". 

Statutory Authority G.S. 143B-147. 

SECTION .1100 - MEDICATION SERVICES 

.1102 CROSS-REFERENCE TO PRESCRIBING 
OF MEDICATION 

fa4 Only a physician ef person authorized 
by- state taw- shall be permitted te proscribe le- 
gend drugs. 

(4*4 A ph> sician ef person authorized te 
pr e scribe legend drugs shall approve the ese ef 
over the counter (nun prescription) medica 
tieft f-ef clients » inpatient psychiatric services 
aftd- fof minors a»d incomp e t e nt adults h* f»s- 
identia] senices. A parent ef guardian shall 
approve the «$e ef over the counter (non 
prescription) medication h* aH other services. 
A physician ef person authorized te prescribe 
legend drugs shall approve the **se ef over 
the counter (non prescription) medication fef 
minors seeking treatment without parental 
cons e nt. 

fe4 A physician assistant shall net prescribe 
psychotropic medication unless authorized by 
the N.C. Board ef Medical bxaminors. 

fd4 A nurse practitioner shall net prescrib e 
psychotropic medication unless authorized by 
the N.C. Board ef Medical lixaminors aftd- the 
Board ef Nursing. 

fe4 Bach medication prescribed by the med 
ieal s e rvices ef the component shall be docu 
mented » the client's record aftd signed by- the 
proscriher. 

(44 44*e client s drug therapy regimen pfe- 
scribed by the medical service ef the compo 
nent shall be assessed by a physician fef 
appropriateness at- least e very 4* months. 

(a) Individuals prescribing medication shall 
comply with the provisions of K) NCAC? 14K. 
.034'). 



(b) For purposes of the Rules of this Section. 
the term "facilities" in 10 NCAC 14K .0349 
shall be interpreted to mean "senices". 

Statutory Authority G.S. 143B-147. 

.1 103 CROSS-REFERENCE TO DISPENSING 
OF MEDICATION 

fa} M e dication shall be dispensed by a 
pharmacist ef physician m a properly labeled 
container » accordance with- state aft4 federal 
k*Wr 1 lowovor, methadon e fef take homo 
purposes may be supplied te a bonafide client 
ef a methadone treatment program by a regis 

t n-.ii t; i i r. ..A . i T-n '' l 1 l A 1 l t l 1 111, t ll I ^ lAf'J \ i "" ' ' T " 1 " 1 *"■ ' ' r •■ ' ' » T ~* * 

te the roqurroments ef 44 NCAC 4eG .0306; 
Supplying ef Methadone h* Treatment Pro 
grams By- R N . 

fb4 44*e medication container shall protect 
medication from light aftd- moisture aftd shall 
be » compliance with the Poison Prevention 
Packaging Aetr 

fe4 44te medication container label shall tft- 
clude the following: 

(4} client s name; 

(-34 date issued ef refilled; 

(44 directions fef administration; 

(-44 medication name aftd strength; 

(4-) name, address a«4 telephono number 
ef dispensing sitet 

(-64 prescribor s name; 

f?4 dispenser's name; aft4 

f&4 ancillary cautionary labeling. 
Individuals prescribing medication shall com- 
ply with the provisions of K) NCAC 14K 
.0350. 



Statutory Authority G.S. 
90-68; 90-85.2; I43B-147. 



90-18.1; 90-18.2; 



.1104 CROSS-REFERENCE TO 

ADMINISTRATION OF MEDICATION 

fa-)- Prescription medication shall be admin 
istered » inpatient, residential aft4 outpatient 
programs only e«- the written ef verbal ord e r 
ef aft- authorized proscribes 

fb4 Over the counter (non pr e scription) 
medication shall be administ e red m- inpatient 
psychiatric sendees asd- te minors aft4 incom 
potent adults ift residential senices only eft the 
written approval ef a physician ef person ae- 
thori/od te prescrib e legend drugs. 

fe4 Ov e r the counter (non proscription) 

medication shall be administered te minors ef 
incompetent adults is- aH oth e r senices efdy 
e» the writton approval ef a parent ef guard 
k*ftr Over the counter (non proscription) 

medication shall be administered te a minor 



NORTH CAROLINA REGISTER 



1055 



PROPOSED RULES 



seeking treatment without parental consent 
onh . t+«- foe written iipproviil fo a physician. 

fti4 Only propL ' rly &spe»sed m e dication shall 
be- administered. 

fe4 Medication ' . . hall be administered in- in- 
patient psychiatric services only by a physician, 
pin sician asststasd &f nurse, to other service 
fomponunl ' i, medication may be administered 
by-r e* sell administration '. upon 4sed by-r pro 
gram ^+rtft who ha' . e' rec e ived instruction ahout 
each medication, dosage, tim e e4 adminis 
tration. M4e a£fcets e«4 contraindications from 
either foe program's physician, t+f designee, ef 
foe client s parent Hf guardian. 

(44 A 1*4- fo person ' ' , approved ft* administer 
medication shall be maintained by foe com 
pon e nt. 

(g4 A physician sbaH approve foe s e ll ad 
ministration fo prescription <m4 over the 
count e r Inon prescription) medication by 
cli e nts h+ inpatient programs t*f minors **f to- 
competent adults h* residential programs. A 
minor t*f foe parent h* guardian fo a minor t*f 
incompetent client shall obtain physician con 
*e«4 fof foe sell administration &f prescription 
e* over the counter (non prescription) medi 
cation m outpatient, day- treatment t*f day- ae- 
tivity program '. . 444e competent adult client 
may sell" administer pr e scription ©f over the 
count e r (Hon prescription) m e dication t» awt- 
patient. day- treatment, day- activity t*f 
residential programs. Where applicable, clients 
should receive training m- foe self admimstra 
tton fo medication. 

(4%+ 444e administration fo m e dication by sfaff 
shall be documented h* foe client record e» a 
program maintained individualized medication 
administration record. 44** r e cord shall con 
toft* a record o4 doses administered. 

(4} Medication administration enors a«4 ad- 
verse dfwe. reactions shall be recorded m foe 
client record a«4 reported to foe prescribing 
physician. 

(a) Medication shall be administered ac- 
cording to the provisions of ]_•_> NCAC 14K 
.0351. 

(h) tor purposes of the Rules of this Section, 
the term ••facilities" in W NCAC 14K .0351 
shall be interpreted to mean "programs" 

Statutory Authority G.S. 90-21.5: 90-171.20 
i r K (8); 90-177.44; 1433- 147. 

.1 105 CROSS-REFERENCE TO STORAGE 
OF MEDICATION 

AW m e dication shall be stored as follows: 



(-+4 Medication shall be stored under proper 
conditions ef sanitation, t e mperature, 
light, moisture and ventilation. 

(-54 Medication shall be stored » a securely 
locked cabinet except that- (44s shall h©4- 
apply to services provided » private 
homes. 

(-fo Only those persons authorized to pfe- 
senbe ©f administ e r medication shall have 
access to stor e d m e dication. 

(4-) Medication fof e xternal use shall be s©§- 
regated from medication fof internal «ser 

(5) Medication stored » a refrigerator used 
fof oth e r purposes skaH be kef4 m a sep- 
araie, securely locked compartment. 

ffo Space fof m e dication storage 4*44 be fo 
sufficient swe to allow separate storage ©£ 
e ach client's m e dication and to prevent 
overcrowding- 
All medication shall be stored according to 
the provisions of 10 NCAC 14K .0352. 

Statutory Authority G.S. I43B-147. 

.1 106 CROSS-REFERENCE TO DISPOSAL 
OF MEDICATION 

Medications shall be disposed fo fo foe fe4- 
lowing mann e r: 
(44 Controlled Substances. Any program 
desiring ©f required to dispose ©£ a eon 
trolled substance shall request authority 
a«4 instructions to dispos e ©f such sub 
stance from foe division. 
(4+ Prescription Medication, 
fo4 rVny program wishing to dispose ©f 
prescription m e dication shall tto *© fo a 
manner foat- guards against diversion 
affo accidental ingestion. Acc e ptabl e 
methods ©f disposal include foe follow 

f+4 transfer ©£ medication to a local 
pharmacy ©f regional psycliiatno hos 
pital pharmacy fof destruction: 

ffo incineration: and 

(444 flush down foe commode. 
(4© A record ©£ medication disposal shall 
fo» maintained. 444e record shall fo- 
clud e foe following: 

(+4 cli e nt s nam e fo applicable): 

fo4 name *r4 strength fo medication: 

(fo+ quantity to be disposed: 

for4 method fo disposal: 

(-H dato fo disposal: 

ffo-f signature fo employee disposing e4 
foe medication: a«4 

(-v+H signature fo e mplov ee witnessing foe 
disposal. 



1056 



SORTH CAROLINA REGISTER 



PROPOSED RULES 



(a) Medication shall be disposed of according 
to the provisions of 10 NCAC 14K .0353. 

(b) For purposes of the Rules of this Section, 
the term -facility" in 10 NCAC UK. .0353 
shall be interpreted to mean "program". 

Authority G.S. 143B-I47; 21 C.F.R. 1307.21. 

.1107 CROSS-REFERENCE TO MEDICATION 
EDUCATION 

fa) Each client to be started ©f maintained 
&& medication prescribed by staff ©f foe a*ea 
program ef 4s contract agencies shall receive 
individual en= group education regarding pre- 
scrib e d medication. 
fb} 44>e physician b* hb- designee shall assess 
e ach cli e nt's ability to- s e ll' administer modica 
tto» as web as other factors foat- may affect 
4R±g therapy, to instances where to** ability 
e4 4*e cli e nt to understand toe medication ed- 
ucation *s questionable, a responsible person 
shall be provided with foe opportunity to f=e- 
ceive both written a«4 e+al instructionG ©» be- 
hatf ei toe client. 

fe) 4be presenbing physician e* other person 
approv e d by toe physician shall provide toe 
following written atto &ea& information to toe 
client »f responsible person at- a time deemed 
appropriate by toe physician: 

f+) toe name, appearance a«4 dosage regi 
men. intended use a»4 common t*4e 
effects ef toe medication; 
f4) adverse r e actions e* uncomfortable si4e 
effects toat- should prompt calling a 
physician; 
f4) food, drugs ef beverages toat- should be 

avoided taken with medication; 
f4) a» alternative dosage regimen if a dose 

is miss e d; 
(-^ toe expected length fo toe medication 
treatment; 
refill instructions; 
toe proper place to store medication; 

toe need to communicate a«4 coordi 
«ato with other physicians fo toe client 
thos e medications prescribed by the 
program. 
(4) 4be m e dication e ducation assessment 
a»4 information provided shall be individual 
wed- top each client a«4 documented » toe eb- 
eto record. 

fto M e dication e ducation shall be coordi 
nated with the discharging »f receiving pro 
gram. 

Programs providing medication for clients 
shall provide medication education according 
to the provisions of 10 NCAC 14K .0354. 



m 

& 
& 



Statutory Authority G.S. 143B-I47. 

SECTION .1200 - NUTRITION/DIETARY 
PRACTICES 

.1202 CONSULTATION FOR NUTRITION 
SERVICES (REPEALED) 

Statutory Authority G.S. J30A-361; 143B-147. 

.1203 CROSS-REFERENCE TO FOOD 
SERVICE MENUS 

fa) Fach program component serving meals 
fof clients shall: 

(4) comply with toe Recommended Dietary 
Allowance &f toe Food a«4 Nutrition 
Board ef toe National Academy ȣ Sei- 
e nces 9fo fevr efo 1980 available at- a 
eest- ef sis dollars ($6.00) f*e*» toe Of- 
fice fo Publications, National Academy 
Press, 2101 Constitution Avenue N.W., 
Washington, OrG, 20 - 118; ar>4 
f4) provide food » keeping with general 
cultural, ethnic a«4 life stylo patterns 
el foe clients s e rved. 
Menus shall be evaluated afit4 approved 
qualified nutritionist ef registered dieti 



by a 

fe) Fach program component which servos 
more than e«e m e al daily shall keep menus as 

I . | t-i i 1 , 3 »~l lil.i Inf r~\ t-1 n i | -t 'I I" 
DC 1 T^TCT rTTT 1 1 H- rTTT OTTV ! L-U.1 . 

(a) Fach program component serving meals 
for clients shall comply with the provisions of 
10 NCAC 14K .0356. 

(b) For purposes of the Rules of this Section, 
the term -facility" in 10 NCAC 14K .0356 
shall be interpreted to mean 'program com- 
ponent". 

Statutory Authority G.S. 130A-361; 143B-I47. 

.1204 CROSS-REFERENCE TO MODIFIED 
DIETS 

Fach program component oorving meals fof 
clients shall provide modified diets » accord 
ance with a physician's prescription a«4 with 
a menu pattern approved by a registered di e ti 

(a) Fach program component serving meals 
for clients shall comply with the provisions of 
10 NCAC 14K .0357. 

(b) For purposes of the Rules of this Section, 
the term -facility" in K) NCAC 14K .0357 
shall be interpreted to mean "program com- 
ponent". 

Statutory Authority G.S. 130A-361; 143B-I4 n . 



NORTH CAROLINA REGISTER 



1057 



PROPOSED RULES 



in 10 NCAC 14K .0358 
to mean "program com- 



.1205 CROSS-REFERENCE TO STAFFING 
FOR FOOD SERVICE 

bach program component which serves more 
than ewe meal daily shall designate the staff 
responsible fof procurement, preparation a«4 
sefvktg to meal ;. afto fof At? maintenance to 
equipment affo sanitary work spac e . 

(a) Fach program component serving more 
than one meal daily shall comply with the 
provisions of U) NCAC 14K .035S. 

(b) lor purposes of the Rules of this Section, 
the term "facility" 
shall be interpreted 
ponent". 

Statutory Authority G.S. 143B-147. 

.1206 CROSS-REFERENCE TO FOOD 

SERVICE EQUIPMENT AND SPACE 

bach program component which sefves more 
than e«e meal daily shaft 
(-H provide * equipment affo spaee to store 

food separately from other items; 
(3) provid e e quipment affo spaee te prepare 

affo serve m e als including aff modifi e d d+et 

menu it em s; affo 
fo+ designat e ar e as fof dining which shall be 

equipped affo arranged to meet the needs 

to the population served. 

(a) Fach program component serving more 
than one meal dailv shall comply with the 
provisions of 10 NCAC 14K .0359. 

(b) For purposes of the Rules of this Section, 
the term -facility" in 10 NCAC 14K .0359 
shall be interpreted to mean "program com- 
ponent". 

Statutory Authority G.S. 143B-147. 

SECTION .1300 - TRANSPORTATION 
SERVICES 

.1302 CROSS-REFERENCE TO 

TRANSPORTATION POLICY 

-Fbe governing body e( each compon e nt pfe- 

viding transportation fof clients shall develop 

affo implement » written transportation policy 

which shall address at least the following: 

{-h e ligibility fo clients top transportation 

s e rvic e s; 
fo+ the means by- which toe program shall 

provide transportation; 
ffo proc e dure ', to be employed h* emergency 
situations occurring during the transpor 
tat ion to clients; 
(-4+ qualifications affo training to vehicle tfo- 
affo aid e*. ; affo 



(a) The governing body of each component 
providing transportation for client shall com- 
ply with the provisions of J_0 NCAC 14K 

0361. 

(b) For purposes of the Rules of this Section, 
the term "facility" in 10 NCAC 14K .0361 
shall be interpreted to mean "component". 

Statutory Authority G.S. 143B-I47. 

.1303 CROSS-REFERENCE TO LICENSED 
DRIVER 

Fach driver to toe t ransportation service shall 
hold a current license issued by- toe N.C. fte- 
purtment to Motor Vehicles to operate toe 
typ e to vehicle(s) to which he is assigned. 

Fach driver in the transportation service shall 
comply with the provisions of 
.0362. 



)f 10 NCAC 14K 



(-to tees, ff ȴ: tof transportation. 



Statutory Authority G.S. I43B-I47. 

.1304 CROSS-REFERENCE TO SAFETY 
PRECAUTIONS 

(a) A seat- affo a seat belt shall be provided 
tof each individual being transported to a ve- 
hicle except that the provision to" seat belts 
shall ftto be r e quir e d fof individuals being 
transported n+ a to*s fof which the manufac 
turing code does Hto recommend the installu 

fto: When physically handicapp e d individuals 

' I T - . | 1 X' 1 1 \ - 1 "h d M ' T I I I 1 t M I ^ \ I \ I \ ' I \ I \ ill [ J *^t I' i ^ 1 I 1 . 1 i 1 t^^^^^^J^^ 

CTTt nuil.'l '1'1 I '^^^^ i^^^T ^^^^^^^^^^C^ ^^T^^^T ^^TT^^^^^^^^ ^^^^^^^^^C 

storage fof adaptive equipment. 

Fach component providing transportation 
services for clients shall comply yvith the pro- 
visions of 10 NCAC 14K .0363. 

Statutory Authority G.S. 143B-I47. 

.1305 CROSS-REFERENCE TO 

TRANSPORTATION OF MINORS 

(a) Fach child tw-e- years to 7 age affo und e r 
shall be transported to a child passenger fe- 
stroint device which shall be to a typ e affo to- 
stalled to a manner approved by the N'.C. 
Commissioner to Motor Vehiclec i . 

fb) When foef e* mor e preschool children 
*fe transported to the same vehicle by a com 
ponent other than developmental day centers 
fof preschool children who afe mentally fe- 
tard e d ef before aft e r school affo summer de- 
velopmental day cent e rs fof children who afe 
mentally retard e d, at least tw-e- adults shall be 
pres e nt m the '■'chicle. 

(fo Wh e n twe ef more children afe trans 
port e d f» the sam e vehicle by developmental 
day centers , fof preschool children who afe 
mentally retarded. t*f before after school affo 



1058 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



i i ummur developmental day centers fof chil 
dren who aw mentally retarded, there f . hall be 
e«e adult, other than the driv e r, te assist i» 
supervision ef the children. 

Each component providing transportation 
services for clients shall comply with the pro- 
visions of 10 NCAC 14K .0364. 

Statutory Authority G.S. 143B-147. 

SECTION .1400 - RESEARCH PRACTICES 

.1402 CROSS-REFERENCE TO RESEARCH 
REVIEW BOARD 

fa4 Each research activity ef each component 
which involves afee program clients » research 
activities shall be reviewed *h4 approved by a 
r e s e arch review board prior te- the initiation e£ 
the research project. 

fb} Each proposed research project shall be 
presented te- a research review board a* a writ 
te» protocol containing the following infor 
mation: 

f2} abstract, containing a short description 
ef the project; 



(44 



i tatement e£ objectives aft4 rationale; 

description ef methodology, including 
informed consent if- necessary. 
(e) Prior te the initiation e£ each research 
project » a» are* program et it* contract 
ag e ncies, a r e search r e vi e w board shall conduct 
an- initial review ef the project; shall stat e the 
fr e qu e ncy with which it w4ii review the proj e ct 

'tit CMS l 1 1 ■ ■ i I |^^^^^^^ ^^^^^^^^^^^^1* ^^^^^i ^T^^^^l I^^^^L^4 ^> 1^^^_ 
UHL1 rT 1 IU.I rTTTT nHuuvvu j UI1U D 1 1 Ul I 1 IV. ' IU CT 1 kJ 

view prior te a»y major changes being made 
i» r e s e arch procedur e s. 

fd4, Written minutes ef each research board's 
meeting shall be maintained a»4 contain doc 
umentation that risks te subj e cts were minunal 
aft4 r e asonable fef the benefits te be accrued; 
tbat unnecessary intrusion e» subj e cts was 
eliminated; that informed consent was appro 
priatoly provided fof^ a»e that confidentiality 
ef subjects was protected. 

(a) Each component which involves area 
program clients in research activities shall 
comply with the provisions of 10 NCAC 14K 
.0333. 

(b) For purposes of the Rules of this Section, 
the term -facility" in 10 NCAC 14K ,0333 
shall be interpreted to mean "component". 

Statutory Authority G.S. C-52; 143B-147. 

.1403 CROSS-REFERENCE TO SUBJECT 
PARTICIPATION 



Informed writt e n consent shall be obtained 
from each subject i» a r e search proj e ct, ef 
from the legal guardian if a subject is incapable 
ef providing informed written consent as fob- 

f44 subjects shall be informed el arty poten 
tiaf dangors e* risks tbat m&f e*ist as a 
result el participation; 

f?} subjects shall be informed as te what 
their participation w+if entail as related te 
time a»4 effort, future folio w up, contacts 
witb other people about them, a»4 alter 
ations el regular procedures; 

fe4 docum e ntation shall be made tbat the 
participants have been informed el a»y 
pot e ntial dangers that tftay exist a&<& that 

understand the conditions el partic 
ipation; 
(4) each individual participating i» a research 
projoct shall have the right te terminato 
participation at asy- tim e without pr e ju 
dicing the tr e atm e nt he is receiving ef bis 
employment i» the ag e ncy; a»4 
(-£►} a copy el the dated, signed consent form 
shall be kept e» file by the program staff. 
Each component which involves area pro- 
uam clients m research activities shall comply 
with the provisions of 10 NCAC 14K .0334. 

Statutory Authority G.S. C-52; 143B-147. 
SUBCHAPTER 18M - REQUIRED SERVICES 

SECTION .0500 - PROVISION OF INPATIENT 

PSYCHIATRIC SERVICES FOR CHILDREN: 

ADOLESCENT: ADL'LT AND ELDERLY 

INDIVIDUALS WHO ARE ACUTELY 

MENTALLY ILL 

.0506 PROVISION OF SERVICES 

(a) Each area program shall provide inpatient 
psychiatric services by one or more of the fol- 
lowing: 

(1) a psychiatric inpatient facility operated 
by the area program and licensed ac- 
cording to the provisions of 10 NCAC 
4£f> Section Mm (Area Operated Psy- 
chiatric Hospitals fof Children, Adoles 
cent, Adult ae4 Elderlv Individuals 
Whe ate Mentally J% 14L .0100 (In- 



patient Psychiatric Services for Individ- 
uals Who Are Mentally 111); 

Statutory Authority G.S. 143B-147. 

SECTION .0600 - PROVISION OF 

PSYCHOSOCIAL REHABILITATION 

PROGRAMS FOR INDIVIDUALS WHO ARE 



NORTH CAROLINA REGISTER 



1059 



PROPOSED RULES 



CHRONICALLY MENTALLY ILL OR 

PROVISION OF PARTIAL 

HOSPITALIZATION SERVICES FOR 

INDIVIDUALS WHO ARE ACUTELY 

MENTALLY ILL 

.0607 INTRODUCTION 

(a) A community t . upport ggvchosocial re- 
habilitation program is a day program which 
is designed to provide a network of services 
primarily for chronically mentally ill. adult -. 
c+h4 elderls individual; . . The network is or- 
ganized around and delivered through mem- 
bership in a peer support group. The goal of 
the program is to help members to meet their 
needs and develop their abilities tor independ- 
ent community living. 

Statutory Authority G.S. 143B-147. 

.0608 PROVISION OF SERVICES 

Each area program shall provide at least: 
( 1 ) a community support psychosocial reha- 
bilitation program primarily for chron- 
ically mentally ill adult a«4 elderly 
individuals licensed according to the pro 
vision provisions of 10 NC AC +8P S<ȣ- 
tion -i > 50U ( Community Support 
Programs fep Adult a«4 Fld e ily Individ 
»ak Who A** Chronically Mentally ffl-H- 
141 .0400 (Psychosocial Rehabilitation 



Programs for Individual 



Who Are 
Chronically Mentally 111 i : or 
(2) a partial hospitalization program for 
acutely mentally ill adult a«4 elderly indi- 
viduals licensed according to the pro- 
visions of 10 NCAC 4££ Section 444W 
I Partial Hospitalization Senices fef Adult 
m*4 I Iderlv Individuals Who Af» Acutely 
M e ntally h± 141. .0300 (Partial Hospi'- 
tali/ation for Individuals Who Are 
Acutely Mentally 111). 



Statutory Authority G.S. I43B-I47. 

SECTION .0700 - DEVELOPMENTAL DAY 

SERVICES FOR PRESCHOOL CHILDREN 

WITH DEVELOPMENTAL DISABILITIES OR 

DELAYS OR AT HIGH RISK FOR MENTAL 

RETARDATION: DEVELOPMENTAL 

DISABILITIES OR DELAYS 

.0701 INTRODUCTION 

A developmental day center service is a 
day night service which provides individual 
habilitative programming for pre-school chil- 
dren v4» a» mentally retarded with develop- 
mental disabilities or delays or at high nsk for 
mental retardation, developmental disabilities 
or delavs in specialized licensed child care cen- 



ters. It is designed to meet developmental 
needs of the children such as self-help, fine and 
gross motor, language and communication, 
and cognitive and social skills in order to fa- 
cilitate their functioning in a less restrictive 
environment as well as to meet child care needs 
of families. It also offers family training and 
support. 

Statutory Authority G.S. 143B-147. 

.0702 POPULATION SERVED (REPEALED) 

Statutory Authority G.S. I22C-51; 143B-147. 

.0704 STAFF REQUIREMENTS 

fQ Assessment of the child to determine de- 
velopmental delay, developmental disability. 
atypical development or high nsk for these 
conditions shall be performed by an appropri- 
ately credcntialed prolessional whose training 
qualities him her to assess children in the de- 
velopmental area of concern. Standardized 
tests, rating scales, developmental profiles and 
other instruments and procedures that meet 
acceptable proposed standards shall be used to 
document the nature and severity of the prob- 
lems necessitating intervention. 

Statutory Authority G.S. I43B-147. 

SECTION .0800 - ADULT DEVELOPMENTAL 

ACTIVITY PROGRAMS (ADAP) FOR 

INDIVIDUALS WITH SUBSTANTIAL 

MENTAL RETARDATION: SEVERE 

PHYSICAL DISABILITIES OR OTHER 

SUBSTANTIAL DEVELOPMENTAL 

DISABILITIES 

.0801 INTRODUCTION 

(a) An adult developmental activity program 
(ADAP) is a day night service which provides 
organized developmental activities for adults 
with substantial mental retardation, -.e'. ere 
physical disabilities or other substantial devel- 
opmental disabilities mentally retarded and or 
physically disabled adults to prepare the indi- 
vidual to live and work as independently as 
possible. The activities and services of an 
ADAP are designed to adhere to the principles 
of normalization and community integration 
aimed at increasing age-appropriate actions, 
images, and appearance of the individual. 

Statutory Authority G.S. I43B-I47. 

.0802 COMPLIANCE REVIEW 

(a) An ADAP that is accredited by the 
Commission on Accreditation of Rehabili- 



1060 



.XORTH CAROLIXA REGISTER 



PROPOSED RULES 



tation Facilities (CARF) in the Activity Ser- 
vice track or an ADAP which also 
incorporates work activity training in its pro- 
gram and which is accredited by CARF in the 
Activity Service and Work Adjustment or 
Work Service tracks shall be reviewed for 
compliance with 10 NCAC 18K (Contract 
Agency Management Standards) and 10 
NCAC 18L (Program Component Opera- 
tional Standards) and with the provisions of 
this Section as follows: 

(1) Each ADAP which is operated by the 
area program shall comply with all of 
the standards delineated in 10 NCAC 
18L; and each ADAP which is under 
contract with an area program shall 
comply with the standards delineated in 
10 NCAC 18K and 10 NCAC 18L; and 

(2) Eaeb ADAP, whether operated by the 

atea program ©f under contract with a» 
area program, shall be r e vi e wed fop 
compliance with the provisions ef this 
Section i» accordance with e«e el the 
following te be determined at the die- 
cretion el the funding agency: Each 
ADAP, whether operated by the area 
program or under contract with an area 
program, shall be reviewed for compli- 
ance with the following Rules in this 
Section: .0803. .0817, .0822 and .0823. 
(A) bach ADAP &haH be r e viewed fop 
compliance with the followinu stand 
awls m this Section: M^ 4&04r M$$t 

sm* rOm^ Mm? mm (&, jm^ 



jm± ,os 16(b), m^ M&i 4m± 

fB) fiaeh ADAP shall be r e vi e wed fof 
compliance with ah- the standards con 
tained i» this Section. 
(b) U an- ADAP is reviewed fof compliance 
only with standards sp e cifi e d » faf (4-j aft4 (a) 
(-£) (A) an4 (■&} el this Standard, the The 
ADAP shall submit to the funding agency a 
copy of its most recent CARF Facilities Sur- 
vey Report, and, if applicable, the Plan of 
Compliance and subsequent notice of CARF s 
acceptance of the correction(s) made in ac- 
cordance with the plan. 

Statutory Authority G.S. 143B-147. 

.0X03 POPULATION SERVED 

Each ADAP shall be designed primarily to 
serve substantially mentally retarded a«4 se- 
verely physically disabled individuals who are 
16 years of age or older. 

Statutoiy Authority G.S. 1 43 B- 1 47. 



.0804 HOURS OF OPERATION (REPEALED) 
.0805 DIRECTOR/COORDINATOR (REPEALED) 
.0806 CLIENT/STAFF RATIO (REPEALED) 
.0807 CLIENT EVALUATOR (REPEALED) 
.0808 BUSINESS PRACTICES (REPEALED) 
.0809 PROVISION FOR CLASSROOM SPACE 

(REPEALED) 
.0810 FACILITIES (REPEALED) 
.081 1 SAFETY EDUCATIONAL PROGRAM 

(REPEALED) 
.0812 ACCIDENT REPORTING (REPEALED) 
.0813 SAFETY COMMITTEE (REPEALED) 
.0814 PROMOTION OF CLIENTS' RIGHTS 

(REPEALED) 
.0815 USE OF PUBLIC TRANSPORTATION 

BY CLIENTS (REPEALED) 
.0816 ACTIVITIES AND SERVICES 

(REPEALED) 

Statutory Authority G.S. 143B-147. 

.0819 SUSPENSIONS AND DISMISSALS 

(REPEALED) 
.0820 CLIENT EVALUATION REPORT 

(REPEALED) 
.0821 INDIVIDUAL PROGRAM PLAN AND 

GOAL PLAN (REPEALED) 

Statutory Authority G.S. 143B-147. 

SECTION .1200 - PROVISION OF SOCIAL 

SETTING: NONHOSPITAL MEDICAL OR 

OUTPATIENT DETOXIFICATION SERVICES 

FOR INDIVIDUALS WHO ARE ALCOHOLICS 

.1201 INTRODUCTION (REPEALED) 
.1202 PROVISION OF SERVICES 
(REPEALED) 

Statutory Authority G.S. 143B-147. 

SUBCHAPTER ISO - OPTIONAL SERVICES 

FOR INDIVIDUALS WHO ARE SUBSTANCE 

ABUSERS 

SECTION .0100 - SOCIAL SETTING: 

NONHOSPITAL MEDICAL AND 

OUTPATIENT DETOXIFICATION SERVICES 

FOR INDIVIDUALS WHO ARE ALCOHOLICS 

.0104 INTRODUCTION (REPEALED) 
.0105 POPULATION SERVED (REPEALED) 
.0106 STAFF REQUIRED: GENERAL 

(REPEALED) 
.0107 TRAINING OF STAFF (REPEALED) 
.0108 EMERGENCY MEDICAL SERVICES 

(REPEALED) 
.0109 PREADMISSION SCREENING 

(REPEALED) 
.01 10 CONSENT FOR TREATMENT 

(REPEALED) 
.01 1 1 REFERRAL TO TREATMENT AND 

REHABILITATION PROGRAM 



NORTH CAROLINA REGISTER 



1061 



PROPOSED RULES 



(REPEALED) 

.01 12 SOCIAL SETTING: HOIKS OF 

OPERATION (REPEALED) 
.0113 SOCIAL SETTING: STAFF REQUIRED 

(REPEALED) 
.0114 SOCIAL SETTING: POSTING OF RULES 

(REPEALED) 
.0115 SOCIAL SETTING: MONITORING OF 

CLIENTS (REPEALED) 
.0116 NONHOSPITAL MEDICAL: HOURS OF 

OPERATION (REPEALED) 
.0117 NONHOSPITAL MEDICAL: STAFF 

REQL IRED (REPEALED) 
.0118 NONHOSPITAL MEDICAL: POSTING OF 

Rl LES (REPEALED) 
.0119 NONHOSPITAL MEDICAL: PHYSICAL 

EXAMINATIONS (REPEALED) 
.0120 NONHOSPITAL MEDICAL: 

MONITORING OF CLIENTS (REPEALED) 
.0121 Ol TPATIENT: IIOLRS OF OPERATION 

(REPEALED) 
.0122 OUTPATIENT: STAFF REQUIRED 

(REPEALED) 
.0123 OUTPATIENT: PHYSICAL 

EXAMINATIONS (REPEALED) 

Statutory Authority G.S. 143B-147. 

SECTION .0200 - HALFWAY HOUSES FOR 
INDIVIDUALS WHO ARE ALCOHOLICS 

.0218 INTRODUCTION (REPEALED) 
.0219 POPULATION SERVED (REPEALED) 
.0220 HOURS OF OPERATION (REPEALED) 
.0221 STAFF REQUIRED (REPEALED) 
.0222 TRAINING OF STAFF (REPEALED) 
.0223 SCREENING FOR COMMUNICABLE 

DISEASES (REPEALED) 
.0224 POSTING OF HOUSE RULES 

(REPEALED) 
.0225 SCHEDULE OF ACTIVITIES 

(REPEALED) 
.0226 SUPPORTIVE SERVICES (REPEALED) 
.0227 EMERGENCY MEDICAL SERVICES 

(REPEALED) 

Statutory Authority G.S. 143B-I47. 

SECTION .0300 - RESIDENTIAL TREATMENT 

/REHABILITATION PROGRAMS FOR 

INDIVIDUALS WHO ARE ALCOHOL OR 

OTHER DRUG ABUSERS 



INTRODUCTION (REPEALED) 
POPULATION SERYED (REPEALED) 
HOI RS OF OPERATION (REPEALED) 
STAFF REQL IRED (REPEALED) 
TRAINING OF STAFF (REPEALED) 
SCREENING FOR COMMUNICABLE 
DISEASES (REPEALED) 
PHYSICAL EXAMINATIONS/ 
LABORATORY TESTING (REPEALED) 
EMERGENCY MEDICAL SERYICES 
(REPEALED) 



0311 


0312 


0313 


0314 


0315 


0316 


0317 


0318 



.0319 POSTING OF HOUSE RULES 

(REPEALED) 
.0320 SCHEDULE OF ACTIVITIES 

(REPEALED) 
.0321 TREATMENT/REHABILITATION 

SERVICES (REPEALED) 

Statutory Authority G.S. I43B-147. 

SECTION .0400 - METHADONE 

TREATMENT 

SERVICES FOR INDIVIDUALS WHO ARE 

NARCOTICS ABUSERS 

.0405 INTRODUCTION (REPEALED) 
.0406 COMPLIANCE WITH FDA/NIDA 

REGULATIONS (REPEALED) 
.0407 COMPLIANCE WITH FDEA 

REGULATIONS (REPEALED) 
.0408 COMPLIANCE WITH NORTH CAROLINA 

CSA REGULATIONS (REPEALED) 
.0409 HOURS OF OPERATION (REPEALED) 
.0410 TAKE-HOME SUPPLIES FOR HOLIDAYS 

(REPEALED) 
.041 1 STAFF REQUIRED (REPEALED) 
.0412 TRAINING OF STAFF (REPEALED) 
.0413 WITHDRAWAL FROM METHADONE 

(REPEALED) 
.0414 TREATMENT/REHABILITATION 

SERVICES (REPEALED) 
.0415 CLIENT DISCHARGE RESTRICTIONS 

(REPEALED) 

Statutory Authority G.S. 143B-147. 

SECTION .0600 - DEVELOPMENTAL DAY 

CARE CENTERS FOR MENTALLY 
RETARDED CHILDREN: HABILITATION 

.0638 INTRODUCTION (REPEALED) 
.0639 POPULATION SERVED (REPEALED) 
.0640 HOURS OF OPERATION (REPEALED) 
.0641 STAFFING REQUIREMENTS 

(REPEALED) 
.0642 STAFF TRAINING (REPEALED) 
.0643 CONSENT FOR TREATMENT 

(REPEALED) 
.0644 PROGRAM PLAN DESCRIPTION 

(REPEALED) 
.0645 EMERGENCY SERVICES (REPEALED) 
.0646 MEDICAL AND PSYCHIATRIC CARE 

AND SERVICES (REPEALED) 
.0647 ASSESSMENT (REPEALED) 
.0648 COMPREHENSIVE INDIVIDUAL 

TREATMENT PLAN (REPEALED) 
.0649 AFTERCARE SERVICES (REPEALED) 
.0650 INVOLUNTARY COMMITMENTS 

(REPEALED) 
.0651 SECLUSION OR MECHANICAL 

RESTRAINTS (REPEALED) 

Statutory' Authority G.S. I22C-60; 143B-147. 



1062 



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PROPOSED RULES 



SI BC1IAPTER 181' - OPTIONAL SERVICES 

FOR INDIVIDUAUS WHO ARE MENTALLY 

ILL OR EMOTIONALLY DISTURBED 

SECTION .0100 - DAY TREATMENT 

PROGRAMS FOR CHILDREN AND 

ADOLESCENTS WHO ARE EMOTIONALLY 

DISTURBED 

.0131 INTRODUCTION (REPEALED) 
.0132 POPULATION SERVED (REPEALED) 
.0133 STAFF REQUIRED (REPEALED) 
.0134 STAFF/CLIENT RATIO (REPEALED) 
.0135 GROUPING OF CHILDREN/ 

ADOLESCENTS (REPEALED) 
.0136 TRAINING OF STAFF (REPEALED) 
.0137 MEDICAL STATEMENT (REPEALED) 
.0138 DIAGNOSTIC STUDY (REPEALED) 
.0139 COORDINATION OF SERVICE 

(REPEALED) 
.0140 TREATMENT PROGRAM (REPEALED) 
.0141 PSYCHIATRIC CONSULTATION 

(REPEALED) 
.0142 SCHEDULE OF DAILY ACTIVITIES 

(REPEALED) 
.0143 ROLE OF PARENTS (REPEALED) 

Statutory Authority G.S. 143B-147. 

SECTION .0200 - RESIDENTIAL 

TREATMENT 

PROGRAMS FOR CHILDREN AND 

ADOLESCENTS 

WHO ARE EMOTIONALLY DISTURBED 

.0227 INTRODUCTION (REPEAUED) 
.0228 POPULATION SERVED (REPEALED) 
.0229 STAFF REQUIRED (REPEALED) 
.0230 STAFF/CLIENT RATIO (REPEALED) 
.0231 GROUPING OF CHILDREN/ 

ADOLESCENTS (REPEALED) 
.0232 TRAINING OF STAFF (REPEALED) 
.0233 LOCATION OF FACILITY (REPEALED) 
.0234 MEDICAL STATEMENT (REPEALED) 
.0235 DIAGNOSTIC STUDY (REPEAUED) 
.0236 TREATMENT PROGRAM (REPEALED) 
.0237 PSYCHIATRIC CONSULTATION 

(REPEALED) 
.0238 COORDINATION OF TREATMENT AND 

EDUCATION (REPEAUED) 
.0239 EDUCATIONAL PROGRAMS (REPEALED) 
.0240 SUMMER PROGRAM (REPEAUED) 
.0241 SCHEDULE OF DAILY ACTIVITIES 

(REPEALED) 
.0242 HOUSEKEEPING ACTIVITIES 

(REPEALED) 
.0243 CLOTHING (REPEALED) 
.0244 PERSONAL HYGIENE (REPEALED) 

Statutory Authority G.S. 1 43 D- 147. 

SECTION .0300 - RESIDENTIAL 
THERAPEUTIC CAMPS FOR CHILDREN AND 



ADOLESCENTS WHO ARE EMOTIONALLY 
DISTURBED 

.0301 INTRODUCTION (REPEALED) 
.0302 POPULATION SERVED (REPEALED) 
.0303 STAFF REQUIRED (REPEALED) 
.0304 STAFF/CLIENT RATIO (REPEALED) 
.0305 GROUPING OF CHIUDREN (REPEALED) 
.0306 TRAINING OF STAFF (REPEALED) 
.0307 MEDICAL STATEMENT (REPEALED) 
.0308 PRE-ADMISSION DIAGNOSTIC STUDY 

AND TREATMENT PLAN (REPEALED) 
.0309 TREATMENT PROGRAM (REPEALED) 
.0310 PSYCHIATRIC CONSULTATION 

(REPEALED) 
.031 1 SCHEDULE OF DAILY ACTIVITIES 

(REPEALED) 
.0312 EMERGENCY MEDICAU TREATMENT 

(REPEALED) 
.0313 BASIC CHILD/ADOUESCENT SAFETY 

(REPEALED) 

Statutory Authority G.S. 143B-147. 

SECTION .0400 - PARTIAL 

HOSPITALIZATION 

SERVICES FOR ADULT AND ELDERLY 

INDIVIDUAUS WHO ARE ACUTELY 

MENTALLY ILL 

.0401 INTRODUCTION (REPEAUED) 
.0402 POPULATION SERVED (REPEAUED) 
.0403 HOURS OF OPERATION (REPEAUED) 
.0404 STAFF REQUIRED (REPEAUED) 
.0405 ROUE OF PHYSICIAN (REPEALED) 
.0406 STAFF/PATIENT RATIO (REPEALED) 
.0407 GROUP THERAPY (REPEAUED) 

Statutory Authority G.S. 143B-147. 

SECTION .0500 - COMMUNITY SUPPORT 

PROGRAMS (CSP) FOR ADULT AND 

ELDERLY INDIVIDUAUS WHO ARE 

CHRONICAUUY MENTALLY ILL 

.0501 INTRODUCTION (REPEALED) 
.0502 POPULATION SERVED (REPEALED) 
.0503 HOURS OF OPERATION (REPEAUED) 
.0504 STAFF REQUIRED (REPEALED) 
.0505 SKILLS DEVELOPMENT (REPEALED) 
.0506 EDUCATIONAL SERVICES (REPEAUED) 
.0507 PREVOCATION AL SERVICES 

(REPEALED) 
.0508 TRANSITIONAL EMPLOYMENT 

SERVICES (REPEALED) 

Statutory Authority G.S. 143B-147. 

SECTION .0600 - DAY CARE FOR ADULT 

AND 

ELDERLY INDIVIDUALS WHO ARE 

MENTALUY ILL 



NORTH CAROLINA REGISTER 



1063 



PROPOSED RULES 



.0601 INTRODUCTION (REPEALED) 
.0602 POPULATION SERVED (REPEALED) 
.0603 COMPLIANCE WITH ADULT DAY CARE 
STANDARDS (REPEALED) 

Statutory Authority G.S. I43B-147. 

SECTION .0700 - TRANSITIONAL 

RESIDENCE PROGRAMS FOR ADULT AND 

ELDERLY INDIVIDUALS WHO ARE 

MENTALLY ILL 

.0701 INTRODUCTION (REPEALED) 
.0702 POPULATION SERVED (REPEALED) 
.0703 HOURS OF OPERATION (REPEALED) 
.0704 STAFF REQUIRED (REPEALED) 
.0705 RESIDENT COUNCIL (REPEALED) 
.0706 PROGRAM ACTIVITIES (REPEALED) 
.0707 EMPLOYMENT OPPORTUNITIES 
(REPEALED) 

Statutory Authority G.S. 143B-147. 

SECTION .0800 - AREA OPERATED 

PSYCHIATRIC HOSPITALS FOR CHILDREN: 

ADOLESCENT: ADULT AND ELDERLY 

INDIVIDUALS WHO ARE MENTALLY ILL 

.0801 INTRODUCTION (REPEALED) 
.0802 POPl I.ATION SERVED (REPEALED) 
.0803 HOI RS OF OPERATION (REPEALED) 
.0804 STAFF REQUIRED (REPEALED) 
.0805 ADMISSION ASSESSMENTS 

(REPEALED) 
.0806 INDIVIDUAL TREATMENT PLAN 

(REPEALED) 

Statutory Authority G.S. I43B-147. 

.0807 SECLUSION OR MECHANICAL 
RESTRAINTS (REPEALED) 

Statutory Authority G.S. 143B-147. 

SECTION .0900 - CONTRACTED INPATIENT 
PSYCHIATRIC SERVICES FOR CHILDREN: 

ADOLESCENT: ADULT AND ELDERLY 
INDIVIDUALS WHO ARE MENTALLY ILL 

.0904 SECLUSION OR MECHANICAL 
RESTRAINTS (REPEALED) 

Statutory Authority G.S. 143B-147. 

SUBCHAPTER 18Q - OPTIONAL SERVICES 

FOR INDIVIDUALS WHO ARE MENTALLY 

RETARDED 

SECTION .0100 - EARLY CHILDHOOD 

INTERVENTION SERVICES (EC IS) FOR 

CHILDREN WITH MENTAL RETARDATION 

OR AT HIGH RISK FOR MENTAL 

RETARDATION OR OTHER 



DEVELOPMENTAL DISABILITIES OR 
DELAYS 

.0123 INTRODUCTION 

(a) An early childhood intervention service 
(ECIS) is a periodic service designed to pro- 
mote the developmental growth of a child who 
is mentally retarded or otherwise develop- 
mentally disabled or delayed or who has atyp- 
ical development or at high risk for mental 
retardation, developmental disabilities or de- 
lavs or atypical development. In addition, it 
provides families with support and information 
on child rearing skills and management, and 
services and resources available to the child 
and family. The service provides, on a regu- 
larly scheduled basis, comprehensive assess- 
ment and prescriptive developmental 
programming such as cognitive, speech, and 
motor development in the client's home and 
which may be supplemented by individual or 
group services at other sites. This service 
provides case- specific and general follow-up 
and consultation to other preschool programs. 

Statutory Authority G.S. 143B-147. 

.0124 POPULATION SERVED (REPEALED) 

Statutory Authority G.S. 143B-I47. 

.0126 INTERDISCIPLINARY ECIS STAFF 

(d) Assessment of the child to determine de- 
velopmental delay, developmental disability, 
atypical development or high risk for these 
condition s shall be performed bv an appropri- 
ately credent ialed professional whose training 
qu.ililK'-. him her to q^c^ children in t_he de- 
velopmental area of concern. Standardized 
tests, rating scales, developmental profiles and 
other instruments and procedures that meet 
acceptable professional standards shall be used 
to document the nature and severity of the 
problems necessitating intervention. 

Statutory Authority G.S. 143B-I47. 

SECTION .0200 - BEFORE/AFTER SCHOOL 

AND SUMMER DEVELOPMENTAL DAY 

SERVICES FOR CHILDREN WITH MENTAL 

RETARDATION OR OTHER 

DEVELOPMENTAL DISABILITIES 

.0284 CROSS-REFERENCE TO 
INTRODUCTION 

(**+ Before after school developmental 4&v 
centers fof children who aw mentally retarded, 
e? otherwis e developmentullv disabl e d, Of at 
high ri*k fof mental retardation ate day services 



1064 



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PROPOSED RULES 



which provid e individual habilitativ e program 
ming a+fo recr e ational activities fof seheei ag e d 
menially retarded children. Sen ic e ?' . afe pro 
vidod pr e ceding affo following foe school day 
during foe months el local '. chool operation 
a«4 afe designed k* m e et developmental needs 
el foe children as well a* foe child eafe needs 
el families. Before alter school servic e s may 
be provided as a component el a develop 
mental day center which serves preschool chil 
dren ef may be provided a* a separate 
component. 

childr e n who afe m e ntally r e tard e d, ef other 
wise developmentally disabled, ef at- high fisk- 
fof mental retardation afe day programs which 
provide individual habilitative programming 
affo recreational activities m a licensed child 
eafe cent e r fof school aged children during foe 
summer period when they afe »e4- participating 
m educational activiti e s. This program t$ de- 
signed te- promote continuing progress fo ae- 
quiring d e velopmental skills such as self help, 
ftwe aftd gross motor, language &&£ communi 
cation, cognitive awe social skills, fo order fe- 
facilitate functioning fo a less restrictiv e e nvi 
ronment. 4-be program is also designed te 
meet child ease needs el laimlies. 

Before alter school and summer develop- 
mental day services shall comply with the 
provisions of 10 NCAC 14M .0501. 

Statutory Authority G.S. 143B-147. 

.0285 POPULATION SERVED (REPEALED) 

Statutory Authority G.S. 143B-147. 

.0286 CROSS-REFERENCE TO IIOLRS OF 
OPERATION 

fa+ 1 i ach before after school developmental 
day service shall be available fof a minimum 
el three hours pef day ( e xclusiv e ©f transpor 
tation time), foe days pef week, during foe 
months el local school operation. 

fbl. Fetch summ e r developmental day senice 

C \-i ■ . 1 I T~» > - 1 \ - ■ i ■ 1 - . V-\ 1 .-» 4 j-v r- --j t->-i i t-1 i m i i ill QJ . n j l li t li , I 1 1 r , 
J 1 Kill I 't-' Li T li 1 1 L 1 1 1 V I l ' I CT I 1 1 I 1 ! 1 I 1 I \.l 1 1 I V ' 1 C 1 i i 1 I I1UU1 3 

pef day (exclusive el transportation time), five 
days pef w e ek, during foe weeks a* which local 
school op e ration *s closed fof summer break. 

Before after school and summer develop- 
mental dav services shall comply with the 
provisions of 10 NCAC 14M .0502. 



Each before/after school center senice or 
summer center senice shall comply with 
Standards .0704 through .0714, with the ex- 
ception of .0704(d) and (e), .0708(b)(2), and 
.0711, of 10 NCAC 18M, Section .0700, De- 
velopmental Day Centers For Preschool Chil- 
dren Wbe- Afe Mentally Retarded. With 
Mental Retardation Or Other Developmental 
Disabilities Or Delays Or At Risk For Mental 
Retardation Or Other Developmental Disabil- 
ities Or Delays. 

Statutory' Authority G.S. 143B-147. 

SECTION .0300 - SPECIALIZED 

COMMUNITY RESIDENTIAL SERVICES 

FOR INDIVIDUALS WITH MENTAL 

RETARDATION OR OTHER 
DEVELOPMENTAL DISABILITIES 

.0320 CROSS-REFERENCE TO 
[INTRODUCTION 

A specialised community residential senic e 
is a residential senice which provides car e , 
treatment aft4 developmental training fof 
m e ntally retarded, multi handicapped mdivid 
uals, childr e n ef adults, over a» extended pe- 
ffod- el tim e . Through int e gration el medical 
services affo clos e supervision, it is designed to 
assist each individual t» attain bis highest l e v e l 
el independent living sldlls while recei' . ing eafe 
fof his physical needs. This senice f»ay be 
c e rtifi e d fof M e dicaid as a» Intermediate Care 
Facility fof foe M e ntally R e tard e d (ICF MR). 

Specialized community residential senices 
shall comply with the provisions of J_0 NCAC 
14M .0101. 

Statutory Authority G.S. 143B-147. 



Statutory Authority G.S. 143B-147. 
.0287 PROGRAM REQUIREMENTS 



.0321 
.0322 
.0323 
.0324 

.0325 
.0326 

.0327 
.0328 
.0329 



.0330 

.0331 
.0332 
.0333 
.0334 



POPULATION SERVED (REPEALED) 
HOURS OF OPERATION (REPEALED) 
CAPACITY OF SERVICE (REPEALED) 
QUALIFICATIONS OF DIRECTOR 

(REPEALED) 

NURSING STAFF (REPEALED) 

PROVISION FOR INTERDISCIPLINARY 

SERVICES (REPEALED) 
CHILD/STAFF RATIOS (REPEALED) 
MEDICAL STATEMENT (REPEALED) 
INDIVIDUAL PROGRAM PLANS: GOAL 

PLANS: NURSING CARE PLANS 

(REPEALED) 
DAILY TRAINING ACTIVITIES 

(REPEALED) 

PERSONAL CARE (REPEALED) 
FAMILY PARTICIPATION (REPEALED) 
MEDICAL CARE (REPEALED) 
BEDROOM SPACE (REPEALED) 



Statutory Authority G.S. /43B-J4' 7 . 



NORTH CAROLINA REGISTER 



1065 



■mi in i i I 



PROPOSED RULES 



SECTION .0400 - GROUP HOMES FOR 

CHILDREN WHO ARK MENTALLY 

RETARDED 

.0421 INTRODUCTION (REPEALED) 
.0422 POPULATION SERVED (REPEALED) 
.0423 HOURS OF OPERATION (REPEALED) 
.0424 CAPACITY OF HOME (REPEALED) 
.0425 LOCATION OF HOME (REPEALED) 
.0426 UTILIZATION OF COMMUNITY 

SERVICES (REPEALED) 
.0427 STAFF REQLIRED (REPEALED) 
.0428 STAFF/CHILD RATIOS (REPEALED) 
.0429 MEDICAL STATEMENT (REPEALED) 
.0430 INDIVIDUAL PROGRAM PLANS AND 

GOAL PLANS (REPEALED) 
.0431 DAILY TRAINING ACTIVITIES 

(REPEALED) 
.0432 PERSONAL CARE (REPEALED) 
.0433 FAMILY PARTICIPATION (REPEALED) 

Statutory Authority G.S. 143B-147. 

SECTION .0500 - COMMUNITY RESPITE 

SERVICES FOR INDIVIDUALS WITH 

MENTAL RETARDATION: OTHER 

DEVELOPMENTAL DISABILITIES: 

DEVELOPMENTAL DELAYS OR AT RISK 

FOR THESE CONDITIONS 

.0520 INTRODUCTION 

(c) Respite services may be provided by the 
following three models: 

(3) companion sitter is a support service in 
which a trained respite provider is 
scheduled to care for the individual in 
a variety ©f settings, including the indi- 
vidual's ew» home, e* other designated 
sit&r Services » th» model may- be 
provided »» a» individual »f group ba- 
si$r This service is not subject to licen- 
sure. 
(4} Standards 4+^24- through 7&S34 ef- this 
Section apply to c41 three models ef respite 
care, fc- addition. Standards .0532 a«4 .0533 
apply to center based services; Standards 053 1 
through .0537 apply to private home servic e s: 
ttfi4 Standards .0538 through .051 1 apply to 
companion sitter sen ices. 

Statutory Authority G.S. 143B-147. 

.0521 (ROSS-REFERENCE TO POPULATION 
SERVED 

1 ach re s pite service - hall be design e d prima 
ftb- to servo individuals who we mentally Fe- 
tarded: however, otherwise developmental]; . ' 
disabled individuals whos e needs are similar to 
mentallv r e tarded individuals hw*¥ be served . 



I -ach community respite service shall comply 
with the provisions of 10 NCAC MM .0702. 

Statutory Authority G.S. 143B-I47. 

.0522 DIRECTOR/COORDINATOR 

(REPEALED) 
.0523 FAMILY SERVICES COORDINATOR 

(REPEALED) 
.0524 AGE OF STAFF MEMBERS (REPEALED) 
.0525 LENGTH OF STAY (REPEALED) 
.0526 CLIENT MEDICAL EXAMINATION 

(REPEALED) 
.0527 MEDICAL PRECAUTIONS (REPEALED) 
.0528 PERSONAL ACCOMMODATIONS 

(REPEALED) 
.0529 PERSONAL CARE (REPEALED) 
.0530 RESPITE ACTIVITIES (REPEALED) 
.0531 MEDICAL STATEMENT (REPEALED) 
.0532 CENTER BASED SERVICES: STAFF 

REQLIRED (REPEALED) 
.0533 CENTER BASED SERVICES: CLIENT'S 

HEALTH (REPEALED) 
.0534 PRIVATE HOME SERVICES: PROVIDER 

APPLICATION (REPEALED) 
.0535 PRIVATE HOME SERVICES: PROVIDER 

TRAINING (REPEALED) 
.0536 PRIVATE HOME SERVICES: 

AGREEMENT WITH PROVIDERS 

(REPEALED) 
.0537 PRIVATE HOME SERVICES: RESPITE 

SERVICE RESPONSIBILITIES 

(REPEALED) 

Statutory Authority G.S. 143B-147. 

.0538 COMPANION SITTER: APPROVAL 
OF PROVIDERS 

Each companion sitter servico governing 
body shall develop and implement written cri- 
teria for the approval of companion sitters 
providers and the sites at which where com 
panion sitter services may be provided. 

Statutory Authority G.S. 143B-I47. 

.0539 COMPANION SITTER SERVICES: 
PROVIDER TRAINING 

Each companion sitter provider shall com- 
plete the pre-service training program pre- 
scribed by the respite servic e , governing body. 
Training mav include a basic understanding of 
developmental disabilities, first aid and seizure 
management. 

Statutory Authority G.S. 143B-147. 

.0540 COMPANION SITTER AGREEMENT 
WITH PROVIDERS 

(a) The companion sitter service governing 
body shall sign a written agreement with each 
companion sitter, provider. 



1066 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



(b) The provisions of the agreement shall 
include the responsibilities of the respit e oorvico 
governing body and the companion sitt e r pro- 
vider including: 

(1) confidentiality requirements; 

(2) procedures for securing emergency ser- 
vices; 

(3) program activities to be implemented; 

(4) responsibilities for supervising respite 
clients; 

(5) procedures related to administration of 
medications; 

(6) participation in respite training pro- 
grams; and 

(7) terms of compensation. 

(c) A signed copy of the agreement shall be 
maintained » by the respite service files, gov- 
erning body and a signed copy shall be given 
to the companion sitter, provider. 

ftty bach companion sitter shall 4«* a» a£- 
firmativ e action statement fe* compliance with 
the provisions ef- Title V+ ©f the Civil Rights 
Aetef 4464. 

Statutory Authority G.S. 143B-147. 

.0541 COMPANION SITTER: 

RESPONSIBILITIES OF GOVERNING 
BODY 

(a) Fach companion sitter s e rvic e governing 
body shall attempt to match the r e spite client's 
needs with the companion sitter's provider's 
ability to provide respite services, care. 

(b) E^ach companion sitter servic e governing 
body shall provide make available to the com 
panion sitter provider a written statement of 
duties and responsibilities. 

(1) This statement shall include length of 
service to be provided, medications to 
be administered and special dietary 
considerations. 

(2) If the client is involved in a develop- 
mental or occupational program, the 
companion sitter provider shall be pro- 
vided written information regarding his 
responsibilities for assuring that the cli- 
ent attends the program and for struc- 
turing activities to enhance objectives 
established by the developmental or 
occupational program. 

(c) Each companion sitter service governing 
body shall provide make available to the com 
panion sitt e r provider a form for recording ill- 
ness, accident, medical concern, including 
administration of medication, and general 
health and appearance of each client at the in- 
itiation of each incident episode of respite sef- 
vice. care. Following each respite incident 



episode, the companion sitter facility shall for- 
ward the completed form to the respite s e rvic e 
governing body for inclusion in the client's re- 
cord. 

Statutory Authority G.S. 1 43 B- 147. 

SECTION .0600 - GROUP HOMES FOR 

INDIVIDUALS WHO ARE MENTALLY 

RETARDED AND BEHAYIORALLY 

DISORDERED (MR/BD) 

.0601 INTRODUCTION (REPEALED) 

.0602 POPULATION SERVED (REPEALED) 

.0603 HOURS OF OPERATION (REPEALED) 

.0604 CAPACITY OF HOME (REPEALED) 

.0605 STAFF REQUIRED (REPEALED) 

.0606 STAFF/CLIENT RAH OS (REPEALED) 

.0607 INDIVIDUAL PROGRAM PLANS AND 

GOAL PLANS (REPEALED) 

.0608 BEHAVIORAL PROGRAMMING 

(REPEALED) 

.0609 DAY SERVICES (REPEALED) 

.0610 COMMUNITY SERVICES (REPEALED) 

.061 1 FAMILY INVOLVEMENT (REPEALED) 

Statutory Authority G.S. MSB- 147. 

SECTION .0700 - GROUP HOMES FOR 
ADULTS WHO ARE MENTALLY RETARDED 

.0701 INTRODUCTION (REPEALED) 
.0702 POPULATION SERVED (REPEALED) 
.0703 HOURS OF OPERATION (REPEALED) 
.0704 ADMISSION DECISION OF CLIENT 

(REPEALED) 
.0705 RESIDENT FUNDS (REPEALED) 
.0706 ANNUAL INTERNAL ASSESSMENT 

(REPEALED) 
.0707 COMPLIANCE WITH GROUP HOME 

STANDARDS (REPEALED) 
.0708 GROUP HOMES THAT MEET ICS/MR 

CERTIFICATION (REPEALED) 

Statutory Authority G.S. 143B-147. 

SECTION .0800 - APARTMENT LIVING 

PROGRAMS FOR ADULTS WITH MENTAL 

RETARDATION OR OTHER 

DEVELOPMENTAL DISABILITIES 

.0802 POPULATION SERVED 

Each apartment living program shall be de- 
signed primarily to serve mentally retarded in- 
dividuals with mental retardation or other 
developmental disability who are at least 18 
years of age and in need of residential support 
services within a community setting. 

Statutory Authority G.S. 143B-147. 

.0803 CROSS-REFERENCE TO PROGRAM 



NORTH CAROLINA REGISTER 



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\im Million' I'll 



PROPOSED RULES 



DIRECTOR/COORDINATOR 

(-a-? Fach apartment living program i . hull havo 
a minimum h4~ e«e d e signated 
director coordinator. 

tto 44te dir e ctor coordinator shall be at least 
a high school graduate? e* equivalent with thre e 
years t4 e xperience h* mental retardation pfe- 
gramming h«t preferably a colleg e graduate 
with eft© yeaF t+f- experience m mental retard a 
Ht-H% programming. 

1 ach apartment living program shall comply 
with the provisions of ]0 NCAC 140 .0204. 

Statutory Authority G.S. 143B-147. 

.0804 CROSS-REFERENCE TO STAFF 

REQUIRED FOR MR/DD CLIENTS 

ta4 44te stuffing patt e rn;: . ef the apartment 
living program, including the staff resident Fa- 
te a«4 the »*e el s olunteers. advocates aft4 
other support individuals, shall he developed 
wt response to the degr e e e4 independence e4 
residents a«4 the geographical dispersal »£ 
apartment living units. 

fk+ 44*e staff resident ratio shall he a* toh- 
lows: 

(4-? co resident apartment - at- least tme staft 

member to e ach Hvt> residents: 
(-2^ apartment cluster - at l e ast ewe staff 
member to each 4-3 e* fewer residents: 

independent living - at- least wh? staff 






member to each 44 bf fewer residents. 

When the director coordinator is rmi 
available, the program shall designate another 
person to s e rve m that capacity. 

I ach apartment living program shall comply 
with the provisions of _1_0 NCAC 14Q .0210. 

Statutory Authority G.S. I43B-147. 

.0806 PHYSICAL PLANT REQUIREMENTS 
(REPEALED) 

Statutory Authority G.S. I43B-147. 

.0808 CROSS-REFERENCE TO TREATMENT 
/HABILITATION PLAN 

ta+ 44*e individual program plan toF each Fe- 
sident shall be developed by- the apartment 
living program a«4 the resident. 

fto A- quarterly summary which includes at 
least a review el the individual program plan 
shall be prepared by- staff. 

1 ach apartment living program shall comply 
with the provisions of K) NCAC 14C) .1)207. 

Statutory Authority G.S. I43B-147. 



.0810 CROSS-REFERENCE TO CLIENT 

TRAINING IN HEALTH AND SAFETY 

fa-) Fach resident shall r e ceive training con 
cennng safe a«4 proper methods el using 
latchen a«4 housekeeping e quipment such at. 
1 cmves, range, exhaust fans, a«4 other electrical 
appliances. 

( I ^ \ I ' ■ i ■ • fa r.T.'i.i. l^< .- ti - ■ 1 1 V-i ^i i -.1 •-. .^ .-■ ,-t ■- f- ♦ s~i tti-L--t fn/j 

\ i- 'i nrrcTT i c siuuiii mnn nrrrv qcdoso CO 1 1 1 rj I ttrri 

supplies located h* each apartment living «ftit 
aftd- shall receive training i» the «se el those 
supplies. 

(-64 Fach resident shall receive instruction m 
obtainmg services ift emergency situations. 

(4f Iniormation e>» obtaining e mergency 
s e rvices, including access to available tefe- 
phones. Lhali he posted. 

fef Fach r e sident who cannot s e lf medicate 
shall he provided a training program to assist 
hifft to he less reliant e>» drug administration 
by staS aft4 more s e lf reliant regarding drug 
administration. 

Fach apartment living program shall comply 
with the provisions of _1_0 NCAC 140 .0209. 

Statutory Authority G.S. 1 43 B- 147. 

.0812 CROSS-REFERENCE TO MANAGING 
CLIENTS' FUNDS 

fa+ Each apartment living program shall ae- 
velop a«4 implement written policies regarding 
the management el residents' funds. 

(4h Fach r e sident shall manage bis own funds 
when e v e r possible. 

to) 44*e apartm e nt Living program shall 
manage r e sid e nts funds only upon writt e n Fe- 
quest by- the resident. af>4 shall provide to the 
resident at rec e ived a«4 disbursed afto the ba4- 
anc e »» hand. 

Fach apartment living program shall comply 
with the provisions of 10 NCAC 14K .0311. 

Statutory Authority G.S. 143B-147. 

SUBCHAPTER 18R - LICENSURE RULES FOR 

MENTAL HEALTH: MENTAL RETARDATION 

AND ALCOHOL FACILITIES 

SECTION .0100 - DEFINITIONS 

.0101 ADMINISTRATOR (REPEALED) 
.0102 PARTIAL HOSPITALIZATION 

(REPEALED) 
.0103 DIVISION (REPEALED) 
.0104 COMMISSION (REPEALED) 
.0105 DEPARTMENT (REPEALED) 
.0106 FACILITY (REPEALED) 
.0107 IN-PATIENT FACILITY OR 

RESIDENTIAL FACILITY (REPEALED) 
.0108 Ol T-PATIENT FACILITY (REPEALED) 
.0109 TREATMENT (REPEALED) 



1068 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



Statutory Authority G.S. 122C-26; I43B-I47. 

SECTION .0200 - APPLICATION FOR 
LICENSE 

.0201 LICENSE REQUIRED (REPEALED) 
.0202 EXCLUSIONS FROM LICENSURE 

(REPEALED) 
.020? NOTICE REQUIRED (REPEALED) 
.0204 CONTENT OF APPLICATION 

(REPEALED) 
.0205 LICENSURE SURVEYS AND ISSUANCE 

(REPEALED) 
.0206 RENEWAL (REPEALED) 
.0207 SEPARATE LICENSE (REPEALED) 
.0208 POSTING OF LICENSES (REPEALED) 
.0209 EXCEEDING LICENSED CAPACITY 

(REPEALED) 
.0210 TRANSFERABILITY (REPEALED) 
.0211 REVOCATION (REPEALED) 
.0212 EMERGENCY REVOCATION (REPEALED) 
.0213 INSPECTIONS (REPEALED) 
.0214 REVIEW REQUIRED (REPEALED) 

Statutory Authority G.S. 122C-3; I22C-22; 
122C-23; 122C-26; I43B-147. 

SEC! ION .0300 - ADMINISTRATION 

.0301 COMPLIANCE WITH APPLICABLE 

LAWS (REPEALED) 
.0302 LICENSURE OF STAFF (REPEALED) 
.0303 PERSON IN CHARGE (REPEALED) 
.0304 VACANT POSITION (REPEALED) 
.0305 DESIGNATED PERSON (REPEALED) 
.0306 FINANCIAL AND STATISTICAL 

RECORDS (REPEALED) 

Statutory Authority G.S. 122C-26; I43B-I47. 

SECTION .0400 - PERSONNEL: GENERAL 

.0401 NUMBER OF PERSONNEL (REPEALED) 
.0402 ASSIGNMENT OF PERSONNEL 

(REPEALED) 
.0403 PERSONNEL RECORDS (REPEALED) 
.0404 POLICIES (REPEALED) 
.0405 IN-SERVICE TRAINING (REPEALED) 

Statutory Authority G.S. 122C-26; I43B-I47. 

SECTION .0500 - ADMISSIONS AND 
DISCHARGES 

.0501 ADMISSION (REPEALED) 
.0502 WRITTEN POLICIES (REPEALED) 
.0503 P VTIENT INFORMATION (REPEALED) 
.0504 DISCHARGE (REPEALED) 

Statutory Authority G.S. 122C-26; I43B-147. 

SECTION .0600 - RECORDS 



.0601 PATIENT RECORD (REPEALED) 

.0602 CONTENT (REPEALED) 

.0603 INDICES AND REGISTERS (REPEALED) 

.0604 FILING AND RETRIEVAL (REPEALED) 

.0605 CONFIDENTIALITY (REPEALED) 

Statutory Authority G.S. 122C-26; 143B-I47. 

SECTION .0700 - CONTRACTED SERVICES 

.0701 WRITTEN AGREEMENT (REPEALED) 
.0702 CONTENT OF AGREEMENT (REPEALED) 

Statutory Authority G.S. I22C-26; 143B-147. 

SECTION .0800 - MEDICAL SERVICES 

.0801 MEDICAL DIRECTION (REPEALED) 
.0802 ORGANIZATION (REPEALED) 
.0803 COMMITTEES (REPEALED) 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .0900 - NURSING 

.0901 NURSING STANDARDS (REPEAUED) 
.0902 NURSES TO BE ON DUTY (REPEAUED) 

Statutory Authority G.S. I22C-26; 143B-147. 

SECTION .1000 - PHARMACEUTICAL 
SERVICES 

.1001 POLICIES (REPEALED) 

.1002 DISPENSING (REPEALED) 

.1003 STORAGE (REPEALED) 

.1004 ADMINISTRATION (REPEALED) 

Statutory Authority G.S. I22C-26; 143B-147. 

SECTION .1 100 - DIETARY SERVICES 

1 101 FACILITIES (REPEALED) 

1102 ORGANIZATION (REPEALED) 

1103 RECORDS (REPEALED) 

1104 MENUS (REPEALED) 

1105 SANITATION (REPEALED) 

1 106 FOOD SERVICE BY CONTRACT 
(REPEALED) 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .1200 - PHYSICAL PLANT 

.1201 HOUSEKEEPING (REPEALED) 

.1202 CONSTRUCTION (REPEALED) 

.1203 FIRE AND DISASTER PLAN (REPEALED) 

.1204 FIRE DRILLS (REPEALED) 

.1205 ELECTRICAL: MECHANICAL AND 

WATER SYSTEMS (REPEALED) 

.1206 STORAGE (REPEALED) 

.1207 EMERGENCY POWER (REPEALED) 



NORTH CAROLINA REGISTER 



1069 



PROPOSED RULES 



.1208 ROOM SIZE (REPEALED) 
.1209 EQUIPMENT AND FURNISHINGS 
(REPEALED) 

Statutory Authority G.S. 122C-26; 143B-147. 

SECTION .1300 - WAIVER OF- RILES AND 
REGULATIONS 

.1301 PROGRAM FLEXIBILITY (REPEALED) 
.1302 REQUEST FOR WAIVER (REPEALED) 

Statutory Authority G.S. I22C-23; J22C-26; 
122C-27; 143B-147. 

SECTION .1400 - APPEAL PROCEDURES 

.1401 DENIAL OR REVOCATION (REPEALED) 
.1402 RLQLEST FOR HEARING (REPEALED) 

Statutory Authority G.S. 122C-24; 122C-26; 
122C-2 A : 143B-147; I50B-3. 

CHAPTER 45 - NORTH CAROI IN A DRUG 
COMMISSION 

SUBCHAPTER 45H - DRUG TREATMENT 
FACILITIES 



No 



SECTION .0100 
FOR DRUG 



- LICENSING REGULATIONS 
IREATMENT FACILITIES 



.0119 DEFINITIONS (REPEALED) 

.0120 LICENSE (REPEALED) 

.0121 GENERAL PROVISIONS (REPEALED) 

.0122 ADMINISTRATION (REPEALED) 

.0123 PERSONNEL (REPEALED) 

.0124 MEDICAL SERVICES (REPEALED) 

.0125 ADMISSIONS AND DISCHARGES 

(REPEALED) 
.0126 CASE RECORDS: DATA REQl. IRED 

FOR TREATMENT CLIENTS (REPEALED) 
.0127 CASE RECORD: DATA REQl IRED FOR 

CRISIS INTERVENTION CLIENTS 

(REPEALED) 
.0128 CLIENT RECORD: DATA REQl IRED 

FOR TELEPHONE CRISIS LINE 

(REPEALED) 
.0129 CASE RECORD: FILING AND 

RETRIEVAL (REPEALED) 
.0130 REFERRALS (REPEALED) 
.0131 CONTRACTED SERVICES (REPEALED) 
.0132 DIETARY SERVICES (REPEALED) 
.0133 PHYSICAL PLANT (REPEALED) 



Statutory Authority G.S. 
/22C-23; 122C-26: I22C-27 



90-109; I22C-3, 
143B-14~. 



TITLE II - DEPARTMENT 
INSURANCE 



OF 



otice is hereby given in accordance with G.S. 
I SOB- 1 2 that the Department of Insurance in- 
tends to adopt, amend and repeal regulations 
cited as II S'CAC I .0101 - .0107, .0202 - 
.0204, .0206 - .0208. .0301 - .0303. .0401, .0403 
- 0404, .0406 - .0407, .0409 - .0412, .0601 - 
.0605, .0701 - .0702; 3 .0001 - .0005, .0008. 

1 he proposed effective date of this action is 

July 1, 1988. 

1 he public hearing will be conducted at 10:00 
a.m. on April 20, 1988 at Third Floor Hearing 
Room, Dobbs Building, 430 X. Salisbury Street, 
Raleigh. Sorth Carolina 2761 1. 



Co 



-omment Procedures: Written comments 
should be submitted to Linda Stott, P.O. Box 
26387, Raleigh, X.C. 27611. Oral presenta- 
tions may be made at the public hearing. 

CHAPTER I - DEPARTMENTAL RULES 

SECTION .0100 - GENERAL PROVISION'S 

.0101 NAME AND PURPOSE (REPEALED) 
.0102 DEFINITIONS (REPEALED) 

Statutory Authority G.S. 58-2; 58-4. 

.0103 LOCATION: MAILING ADDRESS: 
AND OFFICE HOURS 

(a) Location. The primary location of The 
North Carolina Department of Insurance is 
locat e d m the Dobbs Building, 430 North Sal- 
isbury Street. Raleigh, North Carolina. The 
Engineering and Building Codes Division is 
located at 4 1 N Bovlan Avenue. Raleigh, 
North Carolina 27603. The Fire and Rescue 



Division is located at 



Seaboard Ave., Ra- 



leigh. North Carolina 2761 1. The Eastern 
Office is located at 41)5 Middle St.. Room 107, 
New Bern. North Carolina 28560. The West- 



ern Office is located at J_9 North Market 
Square, Suite 210. Ashcville, North Carolina 
2SSD1. 

(c) The department shall have normal 
working hours between S;ilO a.m. and 5:00 
p.m.. Monday through Friday. Legal holidays 
will be observed as recommended bv the North 
Carolma Department of Administration. 



Statutory Authority G.S. 58-4. 

.0104 OFFICE HOURS (REPEALED) 
.0105 COMMISSIONER OF INSURANCE 
(REPEALED) 



urn 



SORTH CAROLISA REGISTER 



PROPOSED RULES 



Statutory Authority G.S. 58-4; 58-5; 58-9. 

.0106 ORGANIZATION OF THE 
DEPARTMENT 

(a) In order to carry out effectively the its 
functions and purposes, ef the department, the 
department is divided into several divisions, 
including, but not limited to the following: 

(1) administration division, 

(2) legal division, 

(3) company admissions division, 

(4) company operations financial evaluation 
division, 

(5) consumer insuranc e information divi- 
sion, 

(6) engineering and building codes division, 

(7) fire and casualty division, 

(8) fire and rescue services division, 

(9) investigations division, 

(10) licensing agent services division, 

(11) life-accident and health division, 

(12) special services division, 

(13) state property fire insurance fund divi- 
sion, 

( 14) support services personnel division. 

(15) budget division, 

( 16) field audit division, 

(17) self-insured workers' compensation di- 
vision, 

( 18) market conduct division, 

( 19) actuarial services division, 

(20) North Carolina Fire Commission. 
fb) T4*e divisions afe organised a»4 admin 



ister e d a* follows: reporting directly to the 
commissioner is the chief deputy commis 
sionor. Reporting to the chief deputy com 
missionor a*e the directors, who ate alse 
deputy commissioners. Reporting to the d+- 
roctors a*e the heads ef the various divisions. 
44w Director ef T e chnical Operations super 
vises the company operations division a«4 the 
company admissions division. : Phe Dir e ctor 
ef Consumer Affairs supervis e s the consumer 
insurance information, the licensing, the ift- 
vestigations, the tier accid e nt a«4 health, the 
legal a«4 the fife aft© casualty divisions. 4^he 
Director ef Budget, Personn e l ae4 Qmbuds 
man Services supervises the support services 
division, ^Pbe Dir e ctor ef Non insurance Re- 
gulatory Sefviees supervises the special sef- 
vices, the fife ae4 rescue, the engin ee ring, a«4 
the state property fund divisions. ?4*e chief 
deputy commissioner directly supervis e s the 
administration division. 

Statutory Authority G.S. 58-7.3; 58-9. 

.0107 PUBLIC INFORMATION AND 



DEPARTMENTAL RECORDS 

(a} Public Informatio n ¥he public shall he 
entitl e d to access to afty a«© all information 
containod m the files ef the department, oxcopt 
when divulging information could jeopardize 
the rights ef any- porson to a faif hearing with 
roforenc e to allogod violations ef insuranco 
laws, ef when the information is proporly 
deemed by the department to be ef a eonfi 
dential nature Roquosts £©f departmental re- 
cords shall be made m writing to the 
commissioner aft© dir e cted to the attontion ef 
the appropriate division a* outlinod i» this Ti- 
tle. 

fb) Reproduction ef Departmental Records. 
Reproduction ef departmental records will be 
permitted e» a discretionary basis d e pending 
©» the volume ef- the r e quest a©4 the avail 
ability ef personnel to make the reproductions. 
Fees charged for reproduction ef departmental 
records will be i» accordance with the applica 
ble General Statut e s ef North Carolina a«4 
based eft additional costs to the department, if 

Departmental records that are properly 
deemed to be public information may be re- 
produced upon request. The request must be 
made in writing and directed to the head of the 
appropriate division. Reproduction of de- 
partmental records will be permitted on a dis- 
cretionary basis depending on the volume of 
the request and the availability of personnel to 
make the reproductions. Fees will be charged 
in accordance with the applicable General 
Statutes of North Carolina. 

Statutory Authority G.S. 58-4; 58-9. 

SECTION .0200 - DEPARTMENTAL RULES 

.0202 FORMER DEPARTMENTAL 

REGULATIONS RETAINED AND 
CITED (REPEALED) 

Statutory Authority G.S. 58-9. 

.0203 PETITION FOR ADOPTION: 

AMENDMENT OR REPEAL OF RULES 

(b) Form of Petition. The petition shall be 
in writing, signed by the petitioning party or 
parties and must include the address of the 
petitioning party, ef parties. In addition, the 
petition shall contain the following informa- 
tion: 

(d) Disposition of Petition. Upon receipt 
of a petition, the commissioner will make a 
study of the facts stated in the petition and any 
additional information he deems relevant. The 
department's disposition of the petition will be 



NORTH CAROLINA REGISTER 



1071 



PROPOSED RULES 



made in one of the following forms within 30 
days of receipt of the proposal: petition: 
(2) a written communication to the peti- 
tioner indicating the department's plan 
to initiate rule-makine procedures pur- 
suant to G.S. 150A 11 150B-12. 



Statutory 
I SOB- 12. 



.0204 



Authority G.S. 58-9 through 58-16; 



NOTICE OF RULE-MAKING 
HEARINGS 

Notice of rule-making hearings will be given 
in accordance with the provisions of North 
Carolina General Statutes, Chapter 150A, 
Section -H- 150B-11 

Statutory Authority G.S. 150B-I2. 

.0206 ORAL AND WRITTEN 

PRESENTATIONS AT RULE-MAKING 

HEARINGS (REPEALED) 
.0207 REQUEST FOR NOTICE OF 

RULE-MAKING HEARINGS 

(REPEALED) 
.0208 EMERGENCY RULES (REPEALED) 

Statutory Authority G.S. 150B-12; I50B-13. 

SECTION .0300 - DECLARATORY RULINGS 

.0301 DECLARATORY RULINGS: GENERAL 
INFORMATION 

To acquire a declaratory ruling as provided in 
G.S. 150 A 17. 15UB-F7. the procedures set 
forth in this Section shall be strictly adhered to. 

Statutory Authority G.S. I50B-17. 

.0302 PETITION FOR DECLARATORY 
RULING 

(b) Form and Content of Petition. The pe- 
tition shall be typewritten and shall contain the 
name and address of the petitioner, the specific 
factual situation involved, the question e* 
questions sought to be answered, and the 
identification of the rules, statutes, or orders 
applicable to the question presented, te addi 
tion, the factual > jituution involv e d a«4 the 
question presented hy the petitioner must he 
cl e arly stated: Precision ! . hall he exefeised t» 
the drafting t4' the factual .. tatement aft4 the 
question pr e s e nt e d. 

(d) Mailing Address. All requests for de- 
claratory rulings shall be mailed to: Commis- 
sioner of Insurance, AT'IT'N I ION: Chief 
Deputy Comini i.'. ioner, P.O. Box 26387, Ra- 
leigh, North Carolina 27611. 

Statutory Authority G.S. I50B-/7. 



.0303 RESPONSE OF COMMISSIONER TO 
PETITION 

(b) Rufusal Refusal to Issue Declarator)' 
Ruling. The commissioner may refuse to issue 
a declaratory ruling if one of the following cir- 
cumstances exists: 

Statutoty Authority G.S. 150B-I7. 

SECTION .0400 - ADMINISTRATIVE 
HEARINGS 

.0401 RIGHT TO HEARING 

Whenever the commissionor department acts 
in such a way as to affect the rights, duties or 
privileges of a specific identified party, the 
commit .'. ioner shall hold a» administrative 
hearing following 4«e notice prior to such ae- 

t » . -v r-t f\r i' n -il I j ■ , i i -i.-n tlril gfci i r-j 1 I ■• ^ t 1-iil' t~t it Vi i t si -i 
rTTTTT OT cTTTTTT IITJ T T J*V 111UI l.'Ul I f rTT 1 II J I I CJ it IVT CT 

hearing upon compliance with 4-4- NCAC 4- 
.0 . 102 a»4 .0 103. the party may appeal for a 
final decision by the department in accordance 
with Article 3A of G_S_ 150B. 

Statutory Authority G.S. 58-9; 150B-38. 

.0403 REQUEST FOR HEARING 

(a) A request for an administrative hearing 
must be made within 30 days of the commi t, 
i iionor's department's action and must be in 
writing, containing the following information: 

Statutory Authority G.S. 58-9; 150B-3S. 

.0404 GRANTING OR DENYING HEARING 
REQUESTS 

A decision as to whether a hearing will be 
granted shall be issued promptly and in »» any 
case no later than 30 days after receipt of the 
request, exclusive of the time required for an 
attempt at informal settlement. Approval of 
a request for hearing shall be made by the is- 
suance of a notice of hearing. A denial of a 
request for hearing shall contain a statement 
of the reason for denial. 

Statutory Authority G.S. 58-9. 

.0406 FAILURE TO APPEAR AT HEARING 

(a) Whenever a party to a contested case fails 
to appear after timely notice of hearing, the 
department shall proceed with the hearing un- 
less, in the discretion of the hearing officer, he 
determines such hearing should not be con- 
ducted. Failure to appear at a scheduled 
hearing, except as authorized by the hearing 
officer, shall result in a waiver of the right to a 
hearing. 



1072 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



(b) A person who has failed to appear at a 
scheduled hearing may petition the commis- 
sioner to have the hearing rescheduled by 
writing to the commissioner, stating his ef hep 
name, address, the dispute involved, and the 
reason for his ef hep failure to appear at the 
scheduled hearing. If the commissioner finds 
that the failure to appear at the scheduled 
hearing was for a good reason, he may, at his 
discretion, reschedule the hearing. 

Statutory Authority G.S. 150B-39. 

.0407 INTERVENTION IN AN 

ADMINISTRATIVE HEARING 

(d) If the commissioner d e termines t» allow 
allows intervention, notice of that decision 
shall be issued promptly to all parties and to 
the petitioner, -m cases ef- discr e tionary inter 
vontion, such notification Notification will in- 
clude a statement of any hirutation of time, 
subject matter, evidence, or what e ver eke is 
deemed necessary, wliich a*e other limitations 
imposed on the intervenor. If the commis- 
sioner's decision is to deny intervention, the 
petitioner will be notified promptly. 

Statutory Authority G.S. I A- 1; I50B-38. 

.0409 SUBPOENAS 

(b) Subpoenas requiring the attendance of 
witnesses, or thos e m produce reproduction of 
documents, evidence or things will be issued 
promptly by a hearing officer after receipt of a 
written request from a party to a contested case 
for such subpoena. 

(e) Except as may be otherwise stated » a 
particular subpoena a party e* p e rson receiving 
a subpoena from me department may- object 
thereto by filing a written objection te- me 
subpoena with me Deputy Commissioner, 
fcega* Division, PtQt fW 16387, Ral e igh, 
North Carolina 2761 1. 

Statutory Authority G.S. 150B-38; I50B-39. 

.0410 SERVICE OF SUBPOENAS 

Subpoenas shall be served as the officer issu- 
ing the subpoena shall direct, as may- be ap- 
propriate m me circumstances ef- me case. 
Subpoenas may be directed to be served by 
any of the following methods: 

( 1 ) b\ an employee of the agency; depart- 
ment; or 

Statutory Authority G.S. 150B-38; 150B-39. 
.041 1 OBJECTION TO A SUBPOENA 



(a) Except as may be otherwise stated in a 
particular subpoena, a party or person receiv- 
ing a subpoena from the department may ob- 
ject thereto by filing a written objection to the 
subpoena with the Deputy Commissioner, 
Legal Division, P.O. Box 26387, Raleigh, N.C. 
2761 1. An objection to a subpoena must in- 
clude a concise but complete statement of rea- 
sons why the subpoena should be revoked or 
modified. These reasons may include any 
reason in law for holding the subpoena invalid. 

(c) fe such time as may be granted by a 
hearing officer, me The party requesting the 
subpoena may file a written response to the 
objection. The response shall be served in like 
manner as the objection. 

(d) After receipt of the objection and re- 
sponse thereto, the hearing officer shall issue a 
notice to the party who requested the sub- 
poena and the party challenging the subpoena, 
and may notify all other parties of a hearing, 
to be scheduled as soon as practicable, at 
which time evidence and testimony may be 
presented limited m me questions raised by 
regarding the objection and response if afty-r 
may be presented. 



Statutory Authority G.S. 
150B-40. 



150B-38; 150B-39; 



.0412 APPEALS TO THE COMMISSIONER 
(REPEALED) 

Statutory Authority G.S. 58-155.49; 58-155.83; 
58-173.11; 58-173.23; 58-248.39. 

SECTION .0600 - GENERAL 
DEPARTMENTAL POLICIES 

.0601 COMMUNICATIONS WITH 
INSURANCE COMPANIES 

It is the policy of this department when 
deemed necessary to communicate with insur- 
ance companies at company expense by means 
of collect telepone telephone calls, telegrams 
and other similar communications. 

Statutory Authority G.S. 58-9; 58-25.1. 

.0602 INSURANCE COMPANIES' RESPONSE 
TO DEPARTMENTAL INQUIRIES 

Departmental policy requires mat Every in- 
surer, upon receipt of an inquiry, oral or writ- 
ten, from the department shall furnish the 
commissioner ef or his designated represen- 
tative with a complete and accurate response 
in writing, unless such response is specifically 
authorized by the commissioner to be given 
orally. Such response must be made by the 



NORTH CAROLINA REGISTER 



1073 



PROPOSED RULES 



insurer within seven calendar days of receipt 
of the request, except that the commissioner 
ma) extend this time period in an individual 
case. 

Statutory Authority G.S. 58-9; 5S-25.J. 

.0603 FACSIMILE COUNTERSIGNATURE 
NOT VALID 

ft- shall be the policy ef the department that 
the H*e hy- a» agent ef a rubber stamp signature 
fef countersignature, pursuant te the pfe- 
vv . ions ef G.S. 5H ■ ! ' !, shall Ret constitut e a le- 
gal- signature aed such countersignature ef 
policies is Ret valid. 

If countersignature is required pursuant to the 
retaliatory provisions of G.S. 58-61 5(i), the use 
bv an agent of a facsimile signature for coun- 
tersisznature shall not constitute a letzal signa- 



ture and such countersignature of policies is 
not valid. 

Statutory Authority G.S. 58-44. 

.0604 SPECIAL AGENT NOT RESIDENT FOR 
COUNTERSIGNATURE PURPOSES 
(REPEALED) 

.0605 HEARING AND LICENSE REVOCATION 
PROCEEDINGS (REPEALED) 

Statutory Authority G.S. 58-9.3; 58-9.4; 58-37; 
58-38; '58-44; 58-44.4 A; 58-56.3; 66-49. 1 3: 
85C-17; 85C-18. 

SECTION .0700 - ADMINISTRATION 
DIVISION 

.0701 PURPOSES OF DIVISION (REPEALED) 
.0702 DIVISION PERSONNEL (REPEALED) 

Statutory Authority G.S. 58-7. J; 58-7.3. 

CHAPTER 3 - LEGAL DIVISION 

.0001 DEFINITIONS (REPEALED) 

Statutory Authority G.S. 58-9; I SOB- J 2(f). 

.0002 PURPOSE OF DIVISION 

The Legal Division counsels, advises and 
renders legal assistance to the commissioner ef 
Insurance and his staff in all matters necessary 
for the general administration of the insurance 
laws of this state and other matters over which 
the commissioner ef Insurance has supervisory 
and regulatory jurisdiction. 

Statutory Authority G.S. 58-~.3; 5S-9. 



.0003 DEPUTY COMMISSIONER (REPEALED) 
.0004 DIVISION PERSONNEL (REPEALED) 

Statutory Authority G.S. 58-7.3; 58-9; 
J SOB- 12(f). 

.0005 SERVICE OF LEGAL PROCESS 

North Carolina General Statutes Sections 
58 52.1; 58-153, and 58-153.1, 58-397, 58-440. 
58-508(1), 58-512(b). and 5S-615(h)(2) provide 
that service of legal process may be made upon 
insurance companies, insurance-support or- 
ganizations, risk retention and purchasing 
groups, and non-resident agents, adjusters, 
motor vehicle damage appraisers aed brokers 
licensees doing business in this state by serving 
such process upon the commissioner ef Insur 
anc e or a deputy duly appointed for such pur- 
pose. The commissioner will appoint a deputy 
or deputies within the Legal Division ef other 
divisions ef the department to receive and 
perfect all legal process in accordance with the 
provisions of the applicable statutes. 

Statutory Authority G.S. 58-/53; 58-153.1; 
58-397; 58-440;' 58-508(1); 58-512(b); 
58-6 15 (h)(2). 

.0008 LEGAL OPINIONS 

When a person who is regulated by the de- 
partment requests clarification of a statute or 
rule where the person is about to engage in a 
business activity that may violate the statute 
or rule, the department may honor the request, 
subject to available resources or in the dis- 
cretion of the deputy commissioner of the legal 
division. 

A request for a legal opinion made by a per- 
son involved in a legal or factual dispute shall 
not be honored. 

A request for a legal opinion on a hypothet- 
ical fact situation shall not be honored. 

Every request for a legal opinion as to how 
to apply a statute or rule to a fact situation 
must be made in writing. The person making 
the request should be advised that it may not 
be appropriate for the department to render a 
legal opinion and that any legal opinion ren- 
dered by the commissioner or his counsel, 
other than a declaratory ruling issued under 
G.S. 1 SOB- 17, is not binding on the commis- 
sioner, and does not prevent the commissioner 
from subsequently acting in a manner incon- 
sistent with the legal opinion's conclusion. 

Statutory Authority G.S. 58-7.3; 58-9. 

TITLE 12 - DEPARTMENT OF JUSTICE 



1074 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



Ivotice is hereby given in accordance with G.S. 
I50B-/2 that the North Carolina Alarm Sys- 
tems Licensing Board intends to adopt and 
amend regulations cited as 12 NCAC II .0102 
- .0103, .0/22, .0206, .0303. 

1 he proposed effective date of this action is 
August I, 19S8. 

1 he public hearing will be conducted at 12:00 
p.m. on May 10, 19SS at McKimmon Center, 
Gorman Street at Western Boulevard, Raleigh, 
North Carolina (ROOM WILL BE POSTED). 

C omment Procedures: File all comments with 
James F. Kirk, Administrator, P.O. Box 29500, 
Raleigh, North Carolina 27626, by 5:00 p.m., 
Apr it 29, 1988. 

CHAPTER 12 - NORTH CAROLINA ALARM 
SYSTEMS LICENSING BOARD 

SECTION .0100 - ORGANIZATION AND 
GENERAL PROVISIONS 

.0102 LOCATION 

The administrative offices of the Alarm Sys- 
tems Licensing Board are located in the head- 
quarters of the State Bureau of Investigation 
at 3320 Old Garner Road; Raleigh, North Ca- 
rolina 27626, telephone (919) 779- 44W M611. 

Statutory Authority G.S. 74D-4. 

.0103 DEFINITIONS 

In addition to the definitions under G.S. 
Chapter 74D, the following definitions shall 
apply throughout this Chapter: 

(1) "Applicant" means any person, firm, or 
corporation applying to the board for a 
license or registration. 

(2) "Board" means the Alarm Systems Li- 
censing Board established by G.S. Chap- 
ter 74D. 

(3) "Branch Manager or Operator" means 
the licensee endowed with the responsi- 
bility and liability for a branch office. 

(4) "Branch Office" means a separate but 
dependent part of a central organization. 
The establishment of a telephone number 
or mailing address in the company name 
constitutes prima facie evidence of a 
branch office. 

(5) "Chairman" means the Chairman of the 
Alarm Systems Licensing Board. 



(6) "Installs" means placing an alarm device 
in a residential or commercial location 
and includes demonstrating the utilization 
of an alarm system device for a specific 
location and function within the protected 
premises, and, with such knowledge ef- 
the alarm system operation, delivering 

I ItiI Jiiiiiaji i i-\ tjT^ ti^uttAC i > r iM't iifil i i r Q I * * "* ■ * 

IllUl UVT i\M IV 1 1 I\J tTTTTTtT v/ i \j PC * i* iu i Ul E 1 1\J 

protected premises. 

(7) "Licensee" means any person licensed 
pursuant to G.S. Chapter 74D. 

(8) "Responds" means receiving a moni- 
tored alarm signal that indicates the exist- 
ence of an unauthorized intrusion or 
taking from the premises of a customer, 
and being required by contract to take 
action upon receipt of that alarm signal. 

(9) "Services" means inspecting, testing, re- 
pairing or replacing an alarm system de- 
vice within protected premises. 

(10) "Monitors" means receiving a contin- 
uous signal from protected premises or 
contracting with a person, firm or corpo- 
ration to provide accessible equipment 
and personnel to receive a signal from an 
alarm device in a residential or commer- 
cial location and take certain action in re- 
sponse. 

(11) "Qualifying Agent" means any person 
who meets the requirements of G.S. 
74D-2(c), provided that no licensee may 
act as qualifying agent for more than one 
alarm systems business without prior au- 
thorization of the board. 

(12) "Knowledge of Specific Applications" 
means obtaining specific information 
about the premises which is protected or 
is to be protected, such knowledge gained 
during an on-site visit. Conducting a 
survey shall be prima facie evidence that 
knowledge of specific application has been 
gained. 

(13) "Lmployee" means a person who has 
an agreement with a licensee to perform 
alarm systems business activities under the 
direct supervision and control of the li- 
censee, for whose services any charges are 
determined imposed and collected by the 
licensee, and for whose alarm systems 
business activities the licensee is legally li- 
able. 

(14) "Agency Head" means the Chairman 
of the .Alarm Systems Licensing Board. 

Statutory Authority G.S. 74D-2; 74D-5. 

.0122 RULE-MAKING AND ADMINISTRATIVE 
HEARING PROCEDURES 



NORTH CAROLINA REGISTER 



1075 



PROPOSED RULES 



The Administrative Procedures for rule-mak- 
ing and hearings, codified as Title 26, Chapters 
2 and 3 of the North Carolina Administrative 
Code, effective August 1, 1986, are hereby 
adopted by reference to apply to actions of the 
Alarm Systems Licensing Board. Pursuant to 
G.S. §150B-14(c) this reference shall automat- 
ically include any later amendments and edi- 
tions to Title 26 Chapters 2 and 3 of the North 
Carolma Administrative Code. 

Statutory Authority G.S. 74D-5. 

SECTION .0200 - PROVISIONS FOR 
LICENSEES 

.0206 RECORDS INSPECTION 

(a) records of a licensee maintained to satisfy 
the requirements of G.S. Chapter 74D or 12 
NCAC Chapter 1 1 shall be subject to in- 
spection by the administrator or his staff upon 
demand between 8:00 a.m. and 5:00 p.m. 
Monday through Friday. 

( b ) All licensees having registered employees 
shall submit a copy of their current quarterly 
Employment Security Commission NCUI 
101-625 to the administrator's office at the 
same time the form is submitted to the Em- 
ployment Security Commission; and an addi- 
tional list of non-Employment Security 
Commission employees currently employed by 
the licensee with the dates of employment. 
Those licensees who do not submit an Em- 
ployment Security Commission NCUI 101- 
625 shall submit the names of their employees 
on a form provided by the board. 

(c) All records required to be kept bv either 
Chapter 741") of the General Statutes of North 
Carolina or bv L2 NCAC 1 1 shall be retained 
for at least three vears. 



Statutory Authority G.S. 74D-5. 

SECTION .0300 - PROVISIONS FOR 
REGISTRANTS 

.0303 MINIMUM STANDARDS FOR 
REGISTRATION 

An applicant for registration must: 

( 1 ) be at least 4-8- j_6 years of age: 

(2) be a citizen of the United States or a re- 
sident alien; and 

( 3) be of good moral character and temperate 
habits. Any of the following within the 
last five years shall be prima facie evidence 
that the applicant does not have good 
moral character or temperate habits: con- 
viction by any local, state, federal, or mil- 
itarv court of anv crime involving the 



illegal use. carrying, or possession of a fir- 
earm; conviction of any crime involving 
the illegal use, possession, sale, manufac- 
ture, distribution, or transportation of a 
controlled substance, drug, narcotic, or 
alcoholic beverage, conviction of a crime 
involving felonious assault or an act of 
violence; conviction of a crime involving 
unlawful breaking and or entering, bur- 
glary, larceny, any offense involving moral 
turpitude: or a history of addiction to al- 
cohol or a narcotic drug: provided that, 
for purposes of (3) of this Rule, "con- 
viction" means and includes the entry of 
a plea of guiltv, plea of no contest, or a 
verdict of guilty; 
(4) not have been declared by any court of 
competent jurisdiction incompetent by 
reason of mental disease or defect; or not 
have voluntarily committed himself or 
herself to an institution for treatment of 
mental disease or defect; or not have been 
involuntarily committed to an institution 
for treatment of mental disease or defect 
by a district court judge. When an indi- 
vidual has been treated and found to have 
been restored by a psychiatrist, the board 
will consider this evidence and determine 
whether the applicant meets the require- 
ments of this Paragraph. 

Statutory Authority G.S. ~4D-5. 

.0306 RENEWAL OR RE-ISSL E OF 
REGISTRATION 

(a) Each applicant for renewal of a registra- 
tion identification card or his employer, shall 
complete a form provided by the board. This 
form should be submitted not less than 30 days 
and not more than 90 days prior to expiration 
of the applicant s current card and shall be ac- 
companied by: 

( 1 ) two recent head and shoulders color 
photographs of applicant of acceptable 
quality for identification one inch by 
one inch in size; and 

(2) statements of the result of a local crim- 
inal history records search by the 
City County Bureau or Clerk of Supe- 
rior Court in each county where the 
applicant has resided within the imme- 
diate preceeding 12 months; and 

(3| the applicant's renewal fee. 

(b) Each applicant for re-issue of a registra- 
tion identification card, or his employer shall 
complete a form provided by the board. This 
form shall be submitted to the board and ac- 
companied by: 



If)' 6 



SORTH CAROLI.XA REGISTER 



PROPOSED RULES 



(1) two recent head and shoulders photo- 
graphs of applicant of acceptable qual- 
ity for identification one inch by one 
inch in size; and 

(2) the applicant's re-issue fee. 

(c) The employer of each applicant for a re- 
gistration renewal or reissue shall give the ap- 
plicant a copy of the application which will 
serve as a record of application for renewal and 
shall retain a copy of the applicant's renewal 
application in the individual's personnel file in 
the employer's office. 

Statutory Authority G.S. 74D-5. 

TITLE 13 DEPARTMENT OE LABOR 

I V otice is hereby given in accordance with G.S. 
I SOB- 1 2 that the Department of Labor intends 
to amend and repeal regulations cited as 13 
XCAC I A .0202 - .0204; IB .020/, .0307 - 
.0308, .0502 - .0508, .0001, .0603, .0604; IC 
.0103 - .0105, .0205 - .0206. .0301 - .0302, 
.0401 - .0402, .0501 - .0506; 4C .0003; 6 .0104 
- .0105; 7A .0103, .0201 - .0207; 7B .0101, 
.0103, .0106, .0109, .0111 - .0112, .0114, .0116, 
.0119, .0201. .0203, .0309, .0502, .0705, .0706. 
.0709 - .0711. .0904, .1003; 7D .0408, .1205, 
.1904; 12 .0404 - .0405, .0502, .0703; 13 .0301; 
14 .0504 - .0505, .0603, .0813, .0815. 

1 he proposed effective date of this action is 
July 1, 1988. 

1 he public hearing will be conducted at 2:00 
p.m. on April 14. 1988 at Conference Room, 
Room 249, Labor Building, 4 West Edenton 
Street, Raleigh, Xorth Carolina. 

C omment Procedures: People wanting to 
present oral testimony at the hearing or who 
want to have written testimony read at the 
hearing, should provide a written summary of 
the proposed testimony to the department by 
April 11, 1988. Oral presentations will be lim- 
ited to 15 minutes each. Written statements not 
presented at the hearing will be accepted by the 
department until April 14, 1988. All corre- 
spondence should be directed to Bobby Bryan, 
SC Department of Labor, 4 West Edenton 
Street, Raleigh NC 27601 . Interpretors for the 
hearing impaired will be made available if re- 
quested 24 hours in advance. 

CHAPTER 1 - DEPARTMENTAL RULES 



SUBCHAPTER 1A - GENERAL PROVISIONS 
AND ORGANIZATION 

SECTION .0200 - ORGANIZATION 

.0202 CONTROLLER'S OFFICE (REPEALED) 
.0203 COMMUNICATIONS OFFICE 

(REPEALED) 
.0204 PERSONNEL OFFICE (REPEALED) 

Statutory Authority G.S. 95-4. 

SUBCHAPTER IB - RULE-MAKING AND 
ADMINISTRATIVE HEARING PROCEDURES 

SECTION .0200 - NOTICE OF RULE-MAKING 
HEARINGS 

.0201 TIMING OF NOTICE (REPEALED) 

Statutory Authority G.S. 95-4(2); 150B-12(2J. 
SECTION .0300 - RULE-MAKING HEARINGS 

.0307 RECORD OF PROCEEDINGS 

A record of all rule-making proceedings will 
be maintained in the Commissioner of Labor's 
office for as long as the rule is in effect, and for 
five years thereafter, following filing with the 
administrative' procedur e s division e^tfee Office 
ei the Attorney General. Office of Adminis- 
trative Hearings. This record will contain: the 
original petition, the notice, all written memo- 
randa and information submitted, and a record 
or summary of oral presentation, if any. Re- 
cord of rule-making proceedings will be avail- 
able for public inspection during the regular 
office hours of the Department of Labor. 

Statutory Authority G.S. 95-4; 150B-12. 

.0308 EMERGENCY RULES (REPEALED) 

Statutory Authority G.S. 95-4; 150B-13. 

SECTION .0500 - ADMINISTRATIVE 
HEARING PROCEDURES 

.0502 PETITION FOR HEARING 

(c) Subsequent to such informal action, if 
still dissatisfied, the individual should submit 
a request te-r Commissioner ©f Labor, 344 
West Jones Street, Raleigh, North Carolina 
27603, with the container ef 4ve request bear 
tfH* 4*> notation: R-fe RLQUEST PQR AD- 
MINISTRATIVE HEARING. Tka4 request 
should contain 4h? following information: file 
a petition for a hearing with the Office of Ad- 
ministrative I Ieanngs m accordance with Arti- 
cle 3 of Chapter 150B of the General Statutes. 
(44, nam e *ft4 address ©f- 4h» petitioner. 



NORTH CAROLINA REGISTER 



1077 



PROPOSED RULES 



{ii a concise statement trf the action taken 
by the commissioner which h> chal 
longed, 
i-M a concise statement ef the way m- which 

the petition e r ha* boon aggrieved; 
(-4+ a clear e«4 specific statement trf request 
fof a hearing. 
(4+ Such request w+h he acknowledged 
promptly and. h doomed appropriate, a hearing 
w+h he scheduled. 

Statutory- Authority G.S. 95-4. 

.0503 GRANTING OR DENYING HEARING 

REQUESTS (REPEALED) 
.0504 NOTICE OF HEARING (REPEALED) 
.0505 WHO SHALL HEAR CONTESTED CASES 

(REPEALED) 
.0506 PETITION FOR INTERVENTION 

(REPEALED) 
.0507 TYPES OF INTERVENTION (REPEALED) 
.0508 DISQUALIFICATION OF HEARING 

OFFICER (REPEALED) 

Statutory- Authority G.S. 95-4; 150B. 

SECTION .0600 - ADMINISTRATIVE 

HEARINGS: DECISIONS: RELATED RIGHTS 

AND PROCEDURES 

.0601 FAILURE TO APPEAR (REPEALED) 

Statutory Authority G.S. 95-4; 150B-25(a). 

.0603 SUBPOENAS (REPEALED) 
.0604 DEPOSITIONS (REPEALED) 

Statutory Authority G.S. 95-4(2); 150B-2' 7 ; 
I50B-28(a). 

SUBCHAPTER 1C - PERSONNEL RULES 

SECTION .0100 - AFFIRMATIVE ACTION 
POLICY 

.0103 JOB STRUCTURING 

(+H Iach employee s position t* r e viewed 
annually by the immediate ' / . upon isor e» the 
employee s anniversary date. Thp . review de- 
termines h employees afe utilising th e ir foh 1 
potential, h th e y afe eligibl e h+f promotion. »f 
h additional training «* counseling h> required. 

Statutory Authority G.S. 95-4, 2). 

.0104 TRAINING AND EDUCATION 

(REPEALED) 
.0105 PROGRAM EVALUATION 

(REPEALED) 

Statutory Authority 95-4, 2 i. 



SECTION .0200 - EMPLOYMENT POLICY 

.0205 HIRING PROCEDURES 

fe} 44*e applicant should respond hy letter, 
accepting »f refusing the position. 

ffy Ah appointments to clerical positions w4& 
he probationary ' fof a penod el three month '. , 
at+4 permanent appointments w4h he contm ■ 
se»t upon satisfactory perlormance dunng the 
probationary period. A midpoint a»4 final 
performance evaluation w+h 1 he given t» e ach 
probationary employee prior te granting per- 
manent status. Jf porfonnanco » unsatisfae 
t*wy aft4 status fs net- granted, the e mployee? 
wth 1 he given twe- weeks written notice ef tef- 
mination. 

fg-^ Ah appointment :, k* professional an4 
technical positions wth he probationary f-e* a 
penod trf sht months. a»4 permanent appoint 
ment wth he contingent upon satisfactory pef- 
foimaneo dunng the probationary period. A 
midpoint a»d fmal performance evaluation wih 1 
he given to each probationary employee prior 
te granting permanent status. U performance 
h* unsatisfactory an4 pemianent status h> ftet- 
granted, employees w4h he given tw-e- weeks 
written notice e£ tennination. 

Statutory Authority G.S. 95-4(2). 

.0206 ORIENTATION PROCEDURES 
(REPEALED) 

Statutory Authority G.S. 95-4(2). 

SECTION .0300 - PARKING POLICY 

.0301 PARKING POLICY (REPEALED) 

.0302 EXCEPTION TO POLICY (REPEALED) 

Statutory Authority G.S. 143-340(18). 

SECTION .0400 - EMPLOYEE APPRAISAL 
AND INCREMENT RULES 

.0401 PERFORMANCE APPRAISAL (REPEALED) 
.0402 MERIT INCREMENT AWARD (REPEALED) 

Statutory Authority G.S. 95-4. 

SECTION .0500 - GRIEVANCE PROCEDURES 

.0501 GENERAL PROVISIONS (REPEALED) 
.0502 DISCUSSION WITH IMMEDIATE 

SLPFRVISOR (REPEALED) 
.0503 APPEAL TO PERSONNEL OFFICER 

(REPEALED) 
.0504 APPEAL TO EMPLOYEE GRIEVANCE 

COMMITTEE (REPEALED) 
.0505 FINAL DECISION BY COMMISSIONER 



1078 



\ORTH CAROLINA REGISTER 



PROPOSED RULES 



(REPEALED) 

.0506 APPEAL TO THE STATE PERSONNEL 
COMMISSION (REPEALED) 

Statutory Authority G.S. 95-4(2); 126-34. 

CHAPTER 4 - CONCILIATION AND 
ARBITRATION DIVISION 

SI BCHAPTER 4C - MEDIATION 

.0003 INTERVENTION BY COMMISSIONER 
(REPEALED) 

Statutory Authority G.S. 95-36. 

CHAPTER 6 - MINE AND QUARRY 

SECTION .0100 - GENERAL PROVISIONS 

.0104 ADVISORY COUNCIL (REPEALED) 

Statutory Authority G.S. 74-24.6. 

.0105 DEFINITIONS 

The following definitions shall apply in this 

Chapter: 

{4} "mine" — a» area ©f land a«4 ah private) 

way: . &&4 roads appurtenant thereto, 

structure ; ;, facilities, machinery, tools, 



(£} "minor" — a«y individual, other than a» 
op e rator ©f a» agent, working m ©f about 
a mine; 



equipment, shafts, slopes, tunnels, e.\ca 
vations, a»4 other property, real ©f pef- 
sonal, plac e d ©f constructed ©fh- under, ©f 
above the surface ©f such hm4 by a»y 
person, used iFh ©f f© be used wh ©f f»- 
sulting from (including the reclamation ©f 
mine areas ©f the storag e ©f material t» 
mined areas), ©f f© facilitate the work ©I 
exploring f-©Fr developing ©f-r ©f extracting 
by- any means ©f method m such area ah 
minerals, inorganic an4 organic, from 
their natural deposits; 4^he tenn "mine" 
ab>© includes ah mineral processing aft4 
mdling facilities except thoso used m the 
processing ©f source mat e rials as* defined 
h* the Atomic Energy AeF ©f 1% ' 1, as 
amended; 

(-§} "operator" — a© individual, partnership, 
association, corporation, firm, subsidiary 
©f a corporation, ©f other organization 
owning, operating, leasing, controlling, ©f 
supervising a mining operation; 

f6+ "accident" — a» unexpected event result 
iftg m injury t©r illn e ss ©£? ©f death ©f a 
person ©f persons as a r e sult ©f mining 
operations aft4 aay- mine explosion, mine 
ignition, mine f+Fer mine inundation, mine 
cave in, ©f other event which could hav e 
r e adily resulted h* serious physical harm; 



Statutory 
95-4. 



Authority G.S. 74-24.2; 74-24.8; 



CHAPTER 7 - OFFICE OF OCCUPATIONAL 
SAFETY AND HEALTH 

SUBCHAPTER 7A - GENERAL RULES 

SECTION .0100 - PURPOSE: DEFINITIONS 

.0103 DEFINITIONS 

The following definitions shall apply 
throughout this Chapter: 
(4} Employer. A person engaged m a busi 
Hess who has employees, including a»y- 

■ t 'I 1 i> (-\r T-i.^litii"il tr i iKjIii Hi-inn r^t n rtn>A Vvi i4 
TTTTTv Ct 1_'V.' Ill [WO L'Lll'TJI Y r9XwXl vl CT rlTTfT^T TTtJt 

workers employed i» the place ©f Fesi- 
donco ©f his ©f hef employer; 
(©) Employee. Aft employee ©f a» e mploy e r 
who is e mployed » a business ©f other 
capacity el his employer, including a»y 
a»d ah business units aftd agencies owned 
and or operated by the e mploy e r. 

Statutory Authority G.S. 95- J 27; 95- 136(g). 

SECTION .0200 - ORGANIZATION 

.0201 DIV ISION: GENERAL (REPEALED) 
.0202 STANDARDS AND INSPECTIONS 

SECTION (REPEALED) 
.0203 EDUCATION AND TRAINING 

SECTION (REPEALED) 
.0204 CONSULTATIVE SERVICES SECTION 

(REPEALED) 
.0205 SAFETY AND HEALTH ENGINEERING 

SECTION (REPEALED) 
.0206 ADVISORY COUNCIL (REPEALED) 
.0207 REVIEW BOARD (REPEALED) 



Statutory Authority G.S. 95-126; 
134; 95-136; 95-147. 



95-133; 95- 



SUBCHAPTER 7B - OCCUPATIONAL 

SAFETY AND HEALTH ACT OPERATIONAL 

PROCEDURES 

SECTION .0100 - INSPECTIONS: CITATIONS 
AND PROPOSED PENALTIES 

.0101 PI RPOSE AND SCOPE 

The North Carolina Occupational Safety and 
Health Act of 1973 (G.S. 95-136 et seq.) re- 
quires, in part, that every employer covered 
under the act furnish to his employees em- 
ployment and a place of employment which 



NORTH CAROLINA REGISTER 



1079 



■HI 



PROPOSED RULES 



are free from recognized hazards that are caus- 
ing or arc likely to cause death or serious phy- 
sical harm to his employees. The act also 
requires that employers comply with occupa- 
tional safety and health standards promulgated 
under the act, and that employees comply with 
standards, rules, regulations and orders issued 
under the act which are applicable to their own 
actions and conduct. The act authorizes the 
Department of Labor to conduct inspections, 
and to issue citations and proposed penalties 
for alleged violations. The act, under G.S. 
95-149, fby also authorizes and empowers the 
commissioner to enter into contracts with the 
Department of Public Health or any other 
state officer or state agency or state instru- 
mentality, or any municipality, county, or 
other political subdivision of the state, for the 
enforcement, administration and any other 
application of the provisions of this article. 
The act contains provisions for adjudication 
of violations, periods prescribed for the abate- 
ment of violations, and proposed penalties by 
the Occupational Safety and Health Review 
Commission, if contested by an employer or 
bv an employee or authorized representative 
of employees, and for judicial review. The 
purpose of this Section is to prescribe rules and 
to set forth general policies for enforcement of 
the inspection, citation, and proposed penalty 
provisions of the act. In situations where this 
Section sets forth general enforcement policies 
rather than substantive or procedural rules, 
such policies may be modified in specific cir- 
cumstances where the commissioner or his de- 
signee determines that an alternative course of 
action would better serve the objectives of the 
act. 

Statutory Authority G.S. 95-136. 

.0103 SECURITY CLEARANCE 

fto Safety officers ©f tbe Department ©f fca- 
b©F a*e authoriz e d to enter without delay a©4 
at- reasonabl e times a©y- factory, plant, est ah 
lishment, construction SFtor ©f other area, 
workplace ©f environment where work b» ©eF- 
form e d by a© employe e ©f a© employer: to m- 
spect a©4 investigate during regular working 
hours a©4 at- other reasonable times. a©4 
within reasonable limits a©4 m a reasonabl e 
mann e r. a«y such place ©f- employment, a©4 
a© pertinent conditions, structures, machines, 
apparatus, devices, equipment a©4 materials 
therein: to question privately a©y employer, 
owner, operator, agent ©f employee: a©4 to 
review records r e quir e d by- tbe aet a©4 r e gu 
lations published m tbb- Chapt e r, a©4 other 



records which are directly relat e d to the ©ap- 
pose ©f tbe inspection. T-be commissioner is 
authorized to enter ifito contracts witb tb© 
Department ©f Public H e alth ©f a©y other 
^4ato offic e ©f state agency ©f state mstrumon 
tality, ©f af¥r municipality, county, ©f other 
political subdivision ©I tfee state, fof the e©- 
forcoment, administration a©4 afty other ap- 
plication ©f- the provisions ©f tb©- article. 

Statutory Authority G.S. 95-136. 

.0106 ADVANCE NOTICE OF INSPECTIONS 

to} T-be a©t provides m &Sr 95 139 that a©y 
person who giv e s advance notice el a©¥ m- 
spection to be conducted under the a©© with 
©to authority from the commissioner ©f bhs- 
designees, shall, upon conviction, be punished 
by f4©© ©£ ©to more than ©Be thousand dollars 
($1,000) ©f by imprisonment £©f ©e+ more 
tba© si* months ©f by- both. 

Statutory Authority G.S. 95-/36. 

.0109 TRADE SECRETS 

(a) GtSt 05 152 ©£ tfe© aet provid e s: ±AH m- 
fonnation reported to ©f otherwise obtained 
by the commissioner ©f ©fs- representative i© 
connection with a©y inspection ©f proceedmg 
und e r t©FS- aet which contains ©f ' ■ ■ . Inch might 
reveal a trad e secret referred to » Section 1905 
©f T©4© 4-8 ©f &e United States Cod e &h&b be 
considered confidential f©F tbe purpose ©f tbat 
section, exc e pt tbat- such information may be 
disclosed to other officers ©f employees con 
cemed vwtb carrying ©to tbi* aet ©f when Fele- 
vant m a©y proceedmg under this a©© 4© aF©- 
such proceeding tb© commissioner, the board, 
©f the court shall issue such ord e rs as F©©y be 
appropnat e to protect tb© confidentiality ©f 
trad e secrets." G.S. 95-152 of the act is con- 
sidered a statute within the meaning of section 
552(b)(3) of Title 5 of the United Spates Code, 
which exempts from the disclosure require- 
ments matters that are "specifically exempted 
from disclosure by statute." 

Statutory Authority G.S. 95-152. 

.0111 COMPLAINTS BV EMPLOYEES 
(REPEALED) 

Statutory Authority G.S. 95- J 30. 

.01 12 INSPECTION NOT WARRANTED: 
INFORMAL REVIEW 

(a) If the director determines that an in- 
spection is not warranted because there are no 
reasonable grounds to believe that a violation 



1080 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



or danger exists with respect to a complaint 
under Rule .0111 trf this Section, G.S. 
95- 136(d), he shall notify the complaining 
party in writing of such determination. The 
complaining party may obtain review of such 
determination by submitting a written state- 
ment of position with the commissioner and, 
at the same time, providing the employer with 
a copy of such statement by certified mail. 
The employer may submit an opposing written 
statement of position with the commissioner, 
and at the same time provide the complaining 
party with a copy of such statement by certi- 
fied mail. Upon the request of the complain- 
ing party or the employer, the commissioner, 
at his discretion, may hold an informal con- 
ference in which the complaining party and the 
employer may orally present their views. After 
considering all written and oral views pre- 
sented, the commissioner shall affirm, modify, 
or reverse the determination of the director and 
furnish the complaining party and the em- 
ployer a written notification of his decision and 
the reasons therefor. The decision of the 
commissioner shall be final and not subject to 
further review. 

(b) If the director determines that an in- 
spection is not warranted because the require- 
ments of £-t4e .011 1(a) ef this Section CIS. 
95- 136(d) have not been met, he shall notify 
the complaining party in writing of such de- 
termination. Such determination shall be 
without prejudice to the filing of a new com- 
plaint meeting the requirements of Rule 

0111(a) ef this Section. G.S. 95- 136(d). 

Statutory Authority G.S. 95-133. 

.01 14 CITATIONS: NOTICES OF 
DE MINIMIS VIOLATIONS 

(c) If a citation or notice of de minimis vio- 
lations is issued for a violation alleged in a re- 
quest for inspection under Rule .01 1 1(a) ef tb+* 
Section G.S. 95-136 (d)( 1) or a notification of 
violation under £U*le .01 1 1(c) »f this Section, 
G.S. 95-136 (d)(2), a copy of the citation or 
notice of de rninimis violations shall also be 
sent to the employee or representative of em- 
ployees who made such request or notification. 

(d) After an inspection, if the director deter- 
mines that a citation is not warranted with re- 
spect to a danger or violation alleged to exist 
in a request for inspection under R.ule .01 1 l(u) 
*4 this Section G.S. 95-136 (d)(1) or a notifi- 
cation of violation under Rul e .01 1 1(c) ef th+* 
S e ction, G.S. 95-136 (d)(2). the informal re- 
view procedures presenbed in Rule .01 12(a) of 
this Section shall be applicable. After consid- 



ering all views presented, the commissioner 
shall affirm the determination of the director, 
order a reinspection, or issue a citation if he 
believes that the inspection disclosed a vio- 
lation. The commissioner shall furnish the 
complaining party and the employer with 
written notification of his determination and 
the reasons therefor. The determination of the 
commissioner shall be final and not subject to 
review. 

Statutory Authority G.S. 95-137. 

.0116 PROPOSED PENALTIES 

(a) After, or concurrent with, the issuance 
of a citation, and within a reasonable time after 
the termination of the inspection, the director 
shall notify the employer by certified mail or 
by personal service by the safety officer of the 
proposed penalty under G.S. 95 133 G.S. 95- 
138 of the act, or that no penalty is being pro- 
posed. Any notice of proposed penalty shall 
state that the proposed penalty shall be 
deemed to be the final order of the review 
board and not subject to review by any court 
or agency unless, within 15 working days from 
the date of receipt of such notice, the employer 
notifies the director in writing that he intends 
to contest the citation or the modification of 
proposed penalty before the review board. 

Statutory Authority G.S. 95-138. 

.0119 FAILURE TO CORRECT A CITED 
VIOLATION (REPEALED) 

Statutory Authority G.S. 95-137. 

SECTION .0200 - STATE PLANS FOR THE 

DEVELOPMENT AND ENFORCEMENT OF 

STATE STANDARDS 

.0201 DESCRIPTION OF THE PLAN 

(b} The plan includes proposed draft legio 
lation U> be considered by the North Carolina 
Gen e ral Assembly during ite 1973 session. 
Such legislation is designed te implement ma- 
jef portions ef the plan aft4 &» bring it- i»te- 
conformity with the requirem e nts fof develop 
ment ae4 enforcement &f stat e standards. 

fe) Lend e r this legislation, aU occupational 
saf e ty a«4 health standards a»4 amendments 
th e r e to which hav e b ee n promulgated by the 
Secretary &f labor, except thos e found m parts 
41^ 4^4r WWt «*i W# ef T-ttle 29 ef the 
Code ©f Federal Regulations (ship r e pairing, 
shipbuilding, shiphr e aking, a«4 longshoring) 
w+H be adopted upon ratification ef the pro 



NORTH CAROLINA REGISTER 



10S1 



PROPOSED RULES 



posed legislation. Inlorcemcnt to such stand 
atos w+fi take place 044 days thereafter. 

(4) 4-be legislation wiH gtve the D e partment 
to I abor tofi authority to administer a«4 e»- 
forc e all laws, rul e s a«4 01 dorr , protecting em- 
ploy ee safety an4 health » all plac e s tof 
employment w* the state; 1+ ab-e- proposes to 
bring the plan mto conformity m procedures 
tof providing prompt afto effective standards 
tof the protection to employees against new 
afto unforeseen hazard '. afto tof furnishing in- 
formation to employees »» hazards, pree 
autions, symptoms, afto emergency treatment; 
afto procedure ' ! fto variances. 

(-to 44+e propos e d legislation w+fi insure em- 
ploy e r and- employee representatives a» ef»- 
portunitv to accompany inspectors afto to ealf 
attention to possible violations before, during, 
afto after inspections; protection &f employees 
against discharge e* discrimination to terms 
afto conditions el cmplovmcito notice to em- 
ployoes to their protections afto obligations; 
adequate safeguards to protect trade secret o; 
prompt notice to employers a«4 employees to 
alleged violations to standards afto abatement 
requirements; e ffective sanctions against em- 
ployers: afto employer's rights to review »f al- 
leged violations, abatement periods, afto 
proposed penalti e s with opportunity tof em- 
ployee pailicipation m the review proceedings. 



(£} 4-be plan ato* provides tof the develop 
inent to a program to encourage voluntary 
compliance by- employers . afto employees. 

fg* 44*e plan includes a statement to toe 
Governor's support tof toe proposed legis 
lation afto a statement to legal opinion that- ft 

irill mflfll t l-i . t *-■ » . -l i i ■ t. » «-. t . n-i ^ . - , 1 1 t I-. , ■ I [■■.•lin'ifi.ifTil 
"111 rTTCTT 1 1 IV r^^cTTTTT^TrTTTTTT' rTT 1 1 IV T. T ^T Lll'U.lIl'111.11 

Safety afto 1 Iealth Aet ef 1970, a«4 is consist 
eto with the Constitution afto laws to North 
Carolina. 44fe plan seto fcfto goals afto provides 
a tim e table tof bringing it mto ftol conformity 
with part 1002 upon enactment to the pro 
posed legislation by the state legislature. 

fb} 44*r> North Carolina plan includ e s the 
following documents , as to the date to ap- 
proval: 

(4-} 44+e plan description document with 

appendixes; 
(-24 Telegram from the Governor of- North 
Carolina. James to. 1 Iolshous e r, J+tt es- 
pressing hf* toll support tof the Ocou 
pational Safety afto 1 I e alth Aet ef 
North Carolina afto hfs- anticipation of 
to> passage during the 107 J session to 
the North Carolina General Assembly; 
(-3} I etter from W-- C-- Creel, Commissioner, 
North Carolina Department of I abor, 
to Ato Thomas C— Brown, Director, 



I 'cderal ami State Operations, clarifying 
several issu e s raised during the review 
process; 
f-ty Also available fof inspection afto copy 

■ rt J » luitK iV^^j n 1 ■ ■ n iin/'ii m i-^«i i f i i ;« I I V-. ■■-» iItli 
IT I C, * I 1111 1 1 1\_ I ' I CX 1 1 UUV TJI I IV. I II " tTTTT I .^J tTTW 

public comments received during the 
review proc e ss. 

Statutory Authority G.S. 95-154. 

.0203 DEVELOPMENTAL SCHEDULE 
(REPEALED) 

Statutory Authority G.S. 95-154. 

SECTION .0300 - RECORDING AND 

REPORTING OCCUPATIONAL INJURIES 

AND ILLNESSES 

.0309 FALSIFICATION OR FAILL'RE 

TO KEEP RECORDS OR REPORTS 

to) Section G.S. 05 1J9 ef the at+ provides 
that: "Whoever knowingly makes afty- fals e 
statement, r e presentation, ef certification to 
asvf application, r e cord, report, plan ef other 
document fifed of required to be maintained 
pursuant to thfs article &hafi be guilty ef a 
misdemeanor aft4 upon conviction thereof, 
shall be punished by- a ftoe tof Hto more than 
ton- thousand dollars ($10.1)00), e* W impri 
sonm e nt, fto set more than si* months, e* 
both." 

Statutory Authority G.S. 95-143. 

SECTION .0500 - RULES OF PROCEDURE 

FOR PROMULGATING: MODIFYING: OR 

REVOKING OCCUPATIONAL SAFETY OR 

HEALTFI STANDARDS 

.0502 PROMULGATION: MODIFICATION: 
OR REVOCATION OF A STANDARD 

(a} Afi occupational safety a«4 health stand 
aft-k promulgated under the federal aet by- the 
secretary ' , a«4 a»y modifications, revisions, 
amendments «f revocations m accordanc e with 
the authority conferred by the fed e ral aet ef 
a»y other federal agency relating to safety aftd 
health adopted by the secretary shall » afi fe- 
spects be the rules »ft4 regulations ef the 
Commission e r to I abor unless the commis 
sioner shall mak e , promulgate and publish a» 
alternative state standard. 

fb) Any interested person may file with the 
Commissioner of L abor of the North Carolina 
Department of Labor, 4 West Udcnton Street, 
Raleigh, North Carolina 27611, 2760 1. a writ- 
ten petition for the adoption, promulgation, 
modification, or revocation of a standard. The 
petition should include, or be accompanied by, 



1082 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



the proposed rule desired and a statement of 
the reasons therefor and intended effect ther- 
eof. 

Statutory Authority G.S. 95-131 . 

SECTION .0700 - STATE ADVISORY 

COUNCIL ON OCCUPATIONAL SAFETY 

AND HEALTH 

.0705 ADVICE AND RECOMMENDATIONS 

(REPEALED) 
.0706 QUORUM (REPEALED) 

Statutory Authority G.S. 95- J 34. 

.0709 ASSISTANCE TO THE COUNCIL 

(REPEALED) 
.0710 MINUTES: TRANSCRIPT (REPEALED) 
.071 1 SUBCOMMITTEES AND SUBGROUPS 

(REPEALED) 

Statutory Authority G.S. 95-134. 

SECTION .0900 - PUBLIC AGENCY OSHA 
PROGRAMS 

.0904 AGENCY RESPONSIBILITIES 

(a) It shall be the responsibility of each ad- 
ministrative department, commission, board, 
division or other agency of the state and of 
counties, cities, towns and subdivisions of go- 
vernment to establish and maintain an effective 
and comprehensive occupational safety and 
health program which is consistent with the 
standards and regulations promulgated by this 
act. The head of each agency shall comply 
with the requirements of G.S. 95-148 and in 
addition shall: 

( 1 ) appoint a qualified person to develop and 
be responsible for his agency's safety pro- 
gram; 

(2) develop a safety plan to include a pro- 
gram of self administration of voluntary 
compliance with OSHA standards in co- 
operation with the North Carolina De- 
partment of Labor. 

(3) provide s safe *h4 healthful places afrd 
conditions el employment consistent with 
the standards a«4 regulations required by 

lUn . ■ Q* - 

UTTC UUl, 

(4} acquir e , maintain a»4 require the «se el 
safety equipment, personal protective 
equipment a»4 d e vic e s reasonably neces 
sary te protect employees; 

(-$-) consult with, afrd- encourage employees 
te cooperate » achieving safe a»4 health 
f-el working conditions; 



( f~.\ I - .i.-n-t fi ■ I .is-* until «■■»■' ~> fl 1 C I > f ; i I 1 , 

I \) J i\Wl? LlUU'Ll Li 1.1 1 C I WUITJJ ^TT UJL1 l 

accidents afrd- illness e s fof propor e valu 
ation a«4 corrective action; 
f?) consult with the commissioner concern 
»g the adequacy el the form afrd cont e nt 
el records kept- pursuant to this Section; 
£8} malco a» annual roport (by- April) te the 
commissioner with respect te occupa 
tional accidents a»d- injuries afrd the 
agency's program und e r thts Section. 
The annual report required by G.S. 95- 148(b) 
shall be made to the commissioner by April 
of each year. 
fh) ^f-he North Carolina Commissioner el 
Labor shall transmit annually te the Governor 
afrd the G e n e ral Assembly a roport el the ac- 
tivities el the state agencies afrd instrumental! 
ties under this Section. H the commissioner 
ha* r e ason te behovo that afry local govern 

»->-l . nit i-ir, v , ii- 1 i t>-v j~t t- r. i-s~i ,~m . m , \ 1 'mil ■ ■ aanflll l-LJ. t f t M 
I J IV. III IM l^ i,I U.1 1 1 \..f i pTTTT^rTTTTT Ul (-U IT U. C-,*- 1 1U ¥ U 1 LIIU 

state is ineffective, he shall, aftep unsuccessfully 
seeking by- negotiations te abate such failure, 
m dud e this ift his annual roport te the Govor 
i+ef a»d the General Assembly, together with 
the reasons th e refor, a«4 may recommend leg- 
islation intended te correct such condition. 

fa) ^Pbe commission e r shall hav e access te 
the records a»d reports kept a»4 filed- by state 
agencies a»d instrumentalities pursuant te this 
Soction unless such records sta4 r e ports afe Fe- 
quired te be kept socret in- the interest el »a- 
tional defense, i» which ease the commissioner 
shall have access te such information as wiH 
fret jeopardis e national dofonso. 

(4) Phe commissioner wiU fret- impose eivtl 
e* criminal ponaltios against afry stat e ag e ncy 
e* political subdivision fe* violations described 
a«4 covered by this aetr 

(e} Employe e s el a»y agency ef department 
covered under this Section a*e affordod the 
same rights afrd prot e ctions as granted ena- 
ployoos » the private sector. 

Statutory Authority G.S. 95- J 48. 

SECTION .1000 - DISCLOSURE AND 
PUBLICITY 

.1003 RULES CONCERNING OSHA ACCESS 
TO EMPLOYEE MEDICAL RECORDS 

(») Effective Date. This Section shall be- 
como effective eft August 2+7 1980. 

Statutory Authority G.S. 95-129; 95-136(g). 

SUBCHAPTER 7D - STANDARDS 
INTERPRETATION 



NOR TH CAROLINA REGIS TER 



10S3 



PROPOSED RULES 



SFXTION .0400 - OCCUPATIONAL HEALTH 
AND ENVIRONMENTAL CONTROL 

.0408 LEAD 

(b) NC-OSHA has adopted the new lead 
standard in the form it was published in the 
November 14, 1978 issue of the Federal Reg- 
ister. The effective date of the standard was 
February 1, 1979, with the various other re- 
quirements becoming effective within a period 
of time, as specified in the standard, after this 
February 1 effective date. 

Several administrative postponements si the 
effective date were grunted h* February te al- 
lew- the federal appellate courts te consider 
applications te judicially review the Hew- ctan 
ditrd. Th e s e applications fof judicial review 
hav e come from botli industry aft4 labor e*- 
ganizations aftd wer e filed m different district 
courts ef appeals. 

Q» March 4r 44*4^ the Unit e d Stat e s Court 
ef Appeals fef the District e£ Columbia Feft- 
dered a decision te partially stay the standard 
by deferring thos e requirements that- involve 
considerable expense te the employer whil e 
allowing thos e requirements that w-th provide 
protoction te employees te ee iftte e ff e ct . This 
will allow the court te review the merits af the 
standard during the September F ) 7H sittmg el- 
the Appeals Court without causing undue 
hardship te employers a»4 without subjecting 
employees te health risks associated with e#- 
posure te lead. 

Statutory Authority G.S. 95-131 , 

SECTION .1200 - MACHINERY AND 
MACHINE GUARDING 

.1205 ACCEPTABLE GUARDING FOR 

CIRCULAR MEAT CUTTING SAWS 

(&) '44ie referenced standard requires point 
ef operation guarding ee machines which e*- 
poso ae employee te injury. Because th e re is 
ee standard available which gives the specific 
d e tails far- guard requirements fe* meat saws, 
there has resulted much confusion as te what 
is acceptable guarding. 

It- is understood tbrtt the appropriate organ 
l/.ations ift the m e at industry ae* pr e s e ntly de- 
veloping standards. Until th e s e are available. 
the policy h* fe) ef th+s Rul e shall be followed. 

Statutory Authority G.S. 95-136(g). 

SECTION .1900 - INSPECTION AND 
ENFORCEMENT AUTHORITY 

.1904 STANDARDS: OPERATIONAL 



PROCEDURE: REQUIREMENTS 
OF OSHANC 

(a) General Statute 95 129(1) states, "Fach 
employer shall furnish te eaeh ef his employ 
ees conditions ef- employment aa4 a place ef 
employment free from recognized hazards that 
a*e causing ef ate likely te cause d e ath ef seri- 
aes injury a* s e rious physical hann te his ere- 
ployoos." 

Statutory Authority G.S. 95- 1 36(g). 

CHAPTER 12 - WAGE AND HOUR 

SECTION .0400 - YOUTH EMPLOYMENT 

.0404 WAIVER 

(a) When a proper application for a waiver 
of any youth employment provision is re- 
ceived, if the proposed employment is in the 
best interest of the minor youth and his health 
and safety will not be adversely affected, the 
Director of the Wage and Hour Division shall 
recommend that the Chief Deputy Commis- 
sioner of the Department of Labor issue a 
waiver for the minor, youth Absent a contrary 
determination by the Chief Deputy Commis- 
sioner on the hardship to the minor youth or 
the effect on the health and safety of the minor. 
youth, the Chief Deputy Commissioner shall 
issue the waiver for the minor, youth. 

(b) Objection te a recommendation by the 
Director a* a refusal te issue a waiver by the 
Chief Deputy Commissioner may be made by 
any affected person by filing a written ef e?al 
exception with the Director, Wage aft4 Hour 
Division, North Carolina Department el fea- 
befr 444 Br North Street, Raleigh, North Gst- 
rolina 27601. -Ne particular form is proscribed 
fof the exception. 44%e exception should clearly 
indicate the reasons the individual objecting 
contends the recommendation ef refusal te is- 
sue is ift error. 44*e exception may request a 
hearing pursuant te 44 NCAC Subchapter 444r 
Any person adversely affected by a decision of 
the Director or Chief Deputy Commissioner 
may appeal the decision by filing a petition for 
a hearing with the Office of Administrative 
Hearings pursuant to the procedures contained 
in Article 3 of G_S. 150B. 

Statutory Authority G.S. 95-25.5; 95-25.17. 

.0405 REVOCATION 

(a) The Director of the Wage and Hour Di- 
vision or his designated representative shall re- 
view the issuance of all youth employment 
certificates by county social services directors. 
If upon review, or because of any other cir- 



1084 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



cumstance, the Director determines a certif- 
icate has been issued in violation of the youth 
employment provisions or the rules and regu- 
lations promulgated thereunder, he shall notify 
the minor, youth the county social service di- 
rector and the employer of the minor youth 
that the certificate is being revoked and shall 
specify the reasons for the revocation. 

(b) If the certificate is revoked, the employer 
shall cease to employ the minor youth and 
shall return the certificate to the Director of the 
Wage and Hour Division or to the county so- 
cial service director, who shall forward it to the 
Wage and Hour Director. 

(c) 44*e employer ©f minor may object t© the 
revocation by filing a writt e n ©f ©Fa4 e xc e ption 
with the Director, Wage *ft4 I lour Division, 
North Carolina Department ©f Labor, +44 14 
North Stre e t, Ral e igh, North Curolma 276 1 )1. 
■No particular form » prescribed fof the oxcep 
tion. 44*e exception should clearly indicate the 
reasons wby- the individual objecting contends 
the revocation » h* error. 44te e xc e ption may 
r e quest a hearing pursuant t© 44 NCAC Sub 
chapter 444- liven though aft exception has 
been taken ©f a hearing requested, the cert if 
icate must be returned aft4 the employment 
must ceas e pursuant t© Paragraph 44 ©f 44* 
Rule. The employer or youth may object to 
the revocation by tiling a petition for a hearing 
with the Office of Administrative 1 learings 
pursuant to the procedures contained in Article 
3 of Chapter 150B of the General Statutes. 



Even if a petition for a hearing is filed, the 
certificate must be returned and the employ- 
ment must cease pursuant to Paragraph (b) of 
the Rule. 

Statutory Authority G.S. 95-25.5; 95-25.17. 

SECTION .0500 -JURISDICTION AND 
EXEMPTIONS 

.0502 COUNTING EMPLOYEES 

(a) For the purpose of establishing jurisdic- 
tion pursuant to 4fc 95 25.M(a)(6), G.S. 
95-25. 14(b)(5), a proprietor or owner who 
works in and about his establishment enter- 
prise is not counted as a person employed in 
the establishment, enterprise. 

(d) Part-time employees and family members 
who work in an e stablishment enterprise will 
be counted in determining the number of per- 
sons employed for jurisdictional purposes. 

(e) The number of employees at an estab 
lishment enterprise who work during the 
course of a workweek, not the number of em- 
ployees working on any particular day, deter- 



mines the wage and hour jurisdiction for any 
workweek. 

Statutory Authority G.S. 95-25.14; 95-25.19. 

SECTION .0700 - CIVIL MONEY PENALTIES 

.0703 EXCEPTIONS TO CIVIL PENALTY 

fa) 44*e employer must f4e a W ' ritt e n e xcop 
4©» t© the e44 penalty determination within 
44 4ays after receipt ©£ the notification ©f the 
e44 penalty ©f the determination v4J4 becomo 
final 

fb4 44te exception t© 4te determination muot 
be f4e4 w44 the Director, Wage a»4 Hour 
Division, North Carolina Department ©f fca- 
befr 444 &r North Street, Raleigh, North Ga- 
k4h» 27601. 

(e) -N4 particular form 4 prescribed £©f the 
exception. 1 Iowovor, the exception should be 
typed ©f clearly written, must be directed t© 
the issue ©f the violations a»4 t©e assessm e nt, 
a©4 must stato the reasons w»y- the employ e r 
contends the determination 4 i» error. 

(44 U a» e xc e ption 4 f4e4 within 44 days ©f- 
receiving notification ©£ the e44 penalty, the 
employer 4 entitled t© a» administrative hoar 
i»g pursuant t© Article 4 ©f Chapter 150 A. 

An employer may take an exception to a civil 
penalty determination by filing a petition for a 
hearing with the Office of Administrative 
I learings pursuant to the procedures contained 
in .Article 3 of Chapter 150B of the General 
Statutes. The exception must be taken within 
1 5 days after the employers receipt of notifica- 
tion of the civil penalty or the determination 
will become final. 

Statutory Authority G.S. 95-25.19; 95-25.23. 

CHAPTER 13 - BOILER AND PRESSURE 
VESSEL 

SECTION .0300 - ENFORCEMENT OF 
STANDARDS 

.0301 PROCEDURE FOR ISSUANCE 
OF INSPECTION CERTIFICATE 

(i) Upon appeal, the commissioner, ©f bis 
designee, shall conduct a hearing shall be con- 
ducted pursuant to Article 3 of G.S. Chapter 
1 50 A 150B and shall modify, affirm, or revoke 
the decision ift Paragraph (j4 ©f 44s Rule, of 
the director. 

(j) The decision of the commissioner shall 
constitute a fmal agency decision subject to 
judicial review pursuant to .Article 4 of G.S. 
Chapter 4©0Ar L50B 



NORTH CAROLINA REGISTER 



1085 



PROPOSED RULES 



Statutory Authority G.S. 95-69.11; 95-69.16. 

CHAPTER 14 - APPRENTICESHIP AND 
TRAINING DIVISION 

SECTION .0500 - DE-REGISTRATION OR 
WITHDRAWAL 

.0504 DE-REGISTRATION OR WITHDRAWAL 

(b) If the sponsor desires a hearing regarding 
the de-registration of or withdrawal of ap- 
proval from the sponsor's apprenticeship or 
OJT program, it shall mak e a formal request 
file a petition for a hearing as provided in 
Chapter 44QA 150B of the North Carolina 
General Statutes as4 44 NCAC 4-Br and the 
hearing process shall be conducted as therein 
provided, except Aat- the commissioner shall 
designat e a homing officer within 444 days e( 
receipt ef tbe formal requ e st. 

Statutory Authority G.S. 94-1; 94-2; 94-4. 

.0505 DE-REGISTRATION OR WITHDRAWAL 
FOR INACTIVITY 

(d) If the sponsor desires a hearing regarding 
the de-registration of or withdrawal of ap- 
proval from the sponsor's apprenticeship or 
OJT program, it shall make a formal requ e st 
file a petition for a hearing as provided in 
Chapter 440A 15QB of the North Carolina 
General Statutes a»4 44 NCAC 4-Br and the 
hearing process shall be conducted as therein 
provided, except t4*at- t4*e commissioner shall 
designat e a hearing officer within 444 days »f 
receipt &i t4*e formal request. 

Statutory Authority G.S. 94-1; 94-2; 94-4. 

SECTION .0600 - COMPLAINTS 

.0603 COMPLAINT PROCEDURE 

(d) A party may appeal the decision of the 
director in accordance with Chapter 1 50A 
150B of the North Carolina General Statutes 
aft4 44 NCAC 443 within 30 days of the ap- 
pealing party's receipt of the decision. 

Statutory Authority G.S. 94-1; 94-2; 94-4. 

SECTION .0800 - EQUAL OPPORTUNITY IN 
APPRENTICESHIP 

.0813 SANCTIONS 

(c) If the sponsor desires a hearing, it shall 
make a formal request file a petition for a 
hearing as provided in Chapter 150 A 150R of 
the North Carolina General Statutes a»4 44 
NCAC 443t and the hearing process shall be 
conducted as therein provided, except t4wt t+x» 



commissioner shall designate a hearing officor 
&f officers within 444 day* ef receipt e( tke for- 
mal request. 

Statutory Authority G.S. 94-1; 94-2; 94-4. 

.0815 COMPLAINT PROCEDURE 

(g) A party may appeal the decision of the 
director, or a sponsor may appeal the determi- 
nation of the director that the private review 
body will not adequately enforce the rules of 
this Section, in accordance with Chapter 150B 
of the North Carolina General Statutes ae4 44 
NCAC 4-& within 30 days of the appealing 
party's receipt of the decision. 

Statutory Authority G.S. 94-1; 94-2; 94-4. 

TITLE 14A - DEPARTMENT OF CRIME 
CONTROL AND PUBLIC SAFETY 



1 V otice is hereby given in accordance with G.S. 
1 SOB- 12 that the Department of Crime Control 
and Public Safety intends to amend regulations 
cited as 14 A NCAC I A .0002 - .0004; 14 A 
NCAC IB .0201. .0308, .0404. .0501 - .0502; 
14 A NCAC ID .0401 - .0402; and repeal regu- 
lations cited as 14 A NCAC IB .0503 - .0523; 
14A NCAC IC .0102; 14A NCAC ID .0101 - 
.0103, .0201 - .0202, .0301 - .0304, .0403 - 
.0404; 14A NCAC 3 .0101 - .0104, .0201 - 



.0202, .0301 
.0502, .0601 - 



.0306, 
.0611. 



.0401 - .0405, .0501 - 



1 he proposed effective date of this action is 
July 1, 198S. 

1 he public hearing will be conducted at 10:00 
a.m. on April 14, 1988 at Library, Second 
Floor, Archdale Building. 512 N. Salisbury 
Street, Raleigh, NC. 



Cc 



omment Procedures: Any interested person 
may present comments relevant to the action 
proposed at the public hearing either in written 
or oral form. Written statements not presented 
at the public hearing may be directed prior to 
April 14, 1988 to the Administrative Procedures 
Coordinator, Second Floor, Archdale Building, 
512 N. Salisbun' Street, Raleigh, NC or P.O. 
Box 27687, Raleigh, NC 27611. 

CHAPTER 1 - DEPARTMENTAL RULES 

SUBCHAPTER I A - GENERAL PROVISIONS 

.0002 PURPOSE OF DEPARTMENT 



1086 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



(8) insure the preparation, coordination, and 
currency of military and eml pr e paredness 
emergency management plans and the ef- 
fective conduct of emergency operations 
by all participating agencies to sustain life 
and prevent, minimize, or remedy injury 
to persons and damage to property re- 
sulting from disasters caused by enemy 
attack or other hostile actions or from di- 
sasters due to natural or man-made 
causes; 

( 14) operate a deferred prosecution, com- 
munity service work program, and victims 
assistance and compensation program; 

(15) operate a central repository for infor- 
mation regarding missing persons; 

( 16) provide grants for community penalties 
programs to provide local sentencing al- 
ternatives to prison; 

( 17) provide police and fire protection of 
Camp Butner and the Town of Butner; 

( M) ( 18) perform such other functions as 
may be assigned by the Governor. 

Statutory Authority G.S. 15B-3; 18B-500; 
122C-40S; 143B-10; I43B-474; 143B-475; 
143B-475.I; 143B-476; I43B-477; 143B-480.I; 
143B-490; I43B-495; 143B-500. 

.0003 ORGANIZATION 

The Department of Crime Control and Pub- 
lic Safety is headed by the Secretary of the 
Department ef Crime Control and Public Saf- 
ety. f» addition, th e r e is the assistant secret ary 
an4 the assistant s e cr e tary fef public safety. 
T4*e office ef the secretary » organised *«te- 
administrative services, information services, 
state emergency communications a»4 special 
proj e cts s e ction, an4 the administrative assist 
afttr The department consists of the Division 
of State Highway Patrol, the Division of Al- 
cohol Law Enforcement, the Division of 
Crime Prevention, the Division of National 
Guard, the Division of Emergency Manage- 
ment, the Division of Civil Air Patrol, the Di- 
vision of Butner Public Safety, the Division of 
Victim and Justice Services, and the division 
ef the Governor's Crime Commission. 

Statutory Authority G.S. 18B-500; I22C-408; 
143B-10; 143B-475; 143B-475.1; 143B-476. 

.0004 SECRETARY OF CRIME CONTROL 
AND PUBLIC SAFETY 

(Q ^ Lfli] a ■*■*«"■ it'll*! • Q I t l-i. I I 1 i.-lll-t t~r~. .int Hi I *—i 11 -L . 1 

CLf I 1IV L'VlinUl T r*T 1 1 IP 1_7 Ul'LIl Lllinil CTT r?TB 1IC 

Control etft4 Public Safety shall have such 
power ;. aee duties delegated to hi» by- the 
Governor ef conf e rred en- hwe b¥ the Consti 



tution ef laws ef the state. In the event of an 
emergency which requires two or more state 
agencies to be involved, the secretary is desig- 
nated as the official who is empowered to co- 
ordinate the state's response to the emergency. 
The secretary may designate any agency as a 
lead agency to be in charge of the state's re- 
sponse. 

(b) 4T*e soorotary, through appropriate units 
ef the D e partment ef Crim e Control aft4 
Public Safety, shall, at- the r e quest ef the Gov 
ernor, provide assistance te the state a«4 local 
law enforcement agencies, district attorneys, 
judges, em4 the Department ef Correction 
when called upon by- hh» a*%4 se dir e cted. The 
secretary may delegate any authority assigned 
to him to any member of his department. 

fe} J» the ev e nt that- the Governor, m the 
exercise ef hi* constitutional aft4 statutory fe- 
sponsibilities, shall deem h n e cessary te utilLio 
the services ef more than efte subunit ef state 
government te provide protection te- the poo 
ele from natural ef man mado disasters ef 
emergencies, including bet- ftet- limited te wars, 
insurrection, riots, efv41 disturbances, ef aoci 
dents, the secretary, under direction ef the 
Governor, shall serve a* the chi e f coordinating 
officer f-ef the state between the respective s«- 
b units se utilised. 

(44 (cj Notwithstanding any other provisions 
of this Title or any rule of any division of the 
Department of Crime Control and Public Saf- 
ety, the Secretary may review any action or 
failure to take action by any member of any 
division and may hold such hearings and 
gather such information in connection there- 
with as he deems necessary for the proper 
function of the department. 

Statutory Authority G.S. 143B-10; 143-476. 

SUBCHAPTER IB - RULEMAKING AND 
ADMINISTRATIVE HEARINGS 

SECTION .0200 - NOTICE OF RULEMAKING 
HEARINGS 

.0201 TIMING OF NOTICE 

Upon a determination to hold a rulemaking 
proceeding, either in response to a petition or 
otherwise, the secretary will give at least 444 30 
days notice to all interested persons of a public 
hearing on the proposed rule. 

Statutory Authority G.S. 1 SOB- 12. 

SECTION .0300 - RULEMAKING HEARINGS 

.0308 TEMPORARY RULES 



NORTH CAROLINA REGISTER 



1087 



PROPOSED RULES 



Whenever r e asons to' imminent p*»l to to* 
public health, safety, e* welfare require tfe© 
adoption ef a» emergency Ftoer Wjienever the 
adoption of a temporary' rule is determined to 
he necessary' and is allowed bv law, the Secre- 
tary' of t6* Department to Cnme Control and 
Public Safety will issue such notice, written, 
telegraphic, telephonic, or other, and allow 
such comments, oral or written as time per- 
mits. 

Statutory- Authority G.S. I SOB- 1 3. 

SECTION .0400 - DECLARATORY RULINGS 

.0404 RECORD OF DECISION 

A record of all declaratory rulemaking pro- 
ceedings will be maintained in the Office of the 
Secretary" of toe Department e£ Crime Control 
and Public Safety for as long as the ruling is in 
effect and for five years thereafter. This record 
will contain: the petition, the notice, all writ- 
ten submissions filed in the request, whether 
filed by the petitioner or any other person, and 
a record or summary of oral presentations, if 
any. Records of declaratory 7 rulemaking pro- 
ceedings will be available for public inspection 
during the regular office hours of the Depart- 
ment of Crime Control and Public Safety. 

Statutory Authority G.S. 1 SOB- 17. 

SECTION .0500 - CONTESTED CASE 

.0501 RIGHT TO HEARING 

Wlienever the action of the Department of 
Crime Control and Public Safety or any of its 
divisions affects the rights, duties and privileges 
of any party and the department is required by 
the United States Constitution, the Constitu- 
tion of North Carolina or any law to determine 
such rights, duties and privileges after an op- 
portunity for an adjudicatory hearing, a party 
shall have a right to an administrative a con- 
tested case hearing. These hearings shall not 
include rulemaking hearings, declaratory rul- 
ings, or award or denial of a scholarship or 
grant. 

Statutory Authority G.S. lS0B-2(2); 1S0B-22. 

.0502 REQL EST FOR HEARING 

(to Aw time a» individual believes be has a 
right to ft hearing. bto to» Hto received notice 
to '. lien ft right, toe individual may toe a formal 
r e qu e st tof ft h e aring. 

(fe^ Before a» individual may 61* a request. 
h* must toto exhaust all reasonable efforts to 
resolve to* issu e informally wito to* director 



ef to* division concerned. This requirement 
will b* satisfied 6y- decision to" to* director to 
to* division concerned. 

(g) Subsequent to such informal action, if 
■toll dissatisfi e d, to* individual should submit 
a request tor Secretary, Department to Crimo 
Control afto Rtotoe Safety, R^Or Jto* 27687, 
Raleigh, NtG. 2761 1, within -to day* af4*f re- 
ceipt ef to* decision ef to* director to to* d+- 
vision, w+to to* container to to* request 
bearing to* notation: Rto REQUEST to^R- 
ADMINISTRATIVE HEARING. ¥6to f*- 
quest should contain to* following informa 
tion: 

(4-) name atto address to to* p e titioner. 
(3) a concise statement to to* action taken 

by to* division which is challenged, 
(tJ) a concise statement to to* way- to which 

to* petitioner has been aggrieved, 
f-44. a clear a«4 specific statement to request 
fof a hearing. 
(4) Such request wiH b* acknowledged 
promptly and, if deemed appropriat e , a hearing 
w+H b* scheduled. 

(a) Informal proceedings through the de- 
partment grievance procedure or other adver- 
sary' proceedings should be used prior to 
seeking a contested case hearing. 

(b) An individual who is dissatisfied with the 
informal proceeding, may file a request for a 
petition for a contested case hearing with the 
Office of Administrative Hearings, Post Office 
Drawer 11666, Raleigh, North Carolina 27604. 

(c) A copy of the petition should be sent to 
the Secretary' of Crime Control and Public 
Safety at the address listed in these Rules. 



(d) Contested case hearings shall be con- 
ducted m accordance with Chapter 150B of the 
General Statutes and the rules of the Office of 
Administrative Hearings. 

Statutory Authority G.S. I50B-23. 

.0503 GRANTING OR DENYING HEARING 

REQUESTS (REPEALED) 
.0504 NOTICE OF HEARING (REPEALED) 
.0505 AGENCY INITIATED PROCEEDING 

(REPEALED) 
.0506 WHO SHALL HEAR CONTESTED CASES 

(REPEALED) 
.0507 PETITION FOR INTERVENTION 

(REPEALED) 
.0508 TYPES OF INTERVENTION (REPEALED) 

Statutory Authority G.S. J A- J, Rule 24: 
USB- 10; 1S0B-2; 150B-23; 1S0B-32. 

.0509 WRITTEN ANSWER (REPEALED) 
.0510 VENUE (REPEALED) 



I OSS 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



.051 1 DISCOYKRY (REPEALED) 
.0512 PRE-HEARING CONFERENCE 

(REPEALED) 
.0513 SUBPOENAS (REPEALED) 
.0514 CONSOLIDATION (REPEALED) 
.0515 STIPULATIONS (REPEALED) 
.0516 DISQUALIFICATION OF HEARING 

OFFICERS (REPEALED) 
.0517 FAILURE OF PARTY TO ATTEND 

HEARING (REPEALED) 
.0518 OATH (REPEALED) 
.0519 CONDUCT OF HEARING (REPEALED) 
.0520 PROPOSAL FOR DECISION 

(REPEALED) 
.0521 RECORD (REPEALED) 
.0522 TRANSCRIPT (REPEALED) 
.0523 FINAL DECISIONS IN 

ADMINISTRATIVE HEARINGS 

(REPEALED) 

Statutory Authority G.S. 143B-10; I50B-24 
through I50B-28; I50B-3I through 150B-34; 
150B-37; 150B-43. 

SUBCHAPTER 1C - STATE LAW 

ENFORCEMENT ASSISTANCE DURING 

LABOR DISPUTE 

SECTION .0100 - APPLICATIONS FOR 
ASSISTANCE 

.0102 WHEN REQUEST FOR ASSISTANCE 
WILL BE ACCEPTED (REPEALED) 

Statutory Authority G.S. 153A-2I2; 
160A-288.I. 

SUBCHAPTER ID - GRIEVANCE 
PROCEDURE 

SECTION .0100 - GENERAL PROVISIONS IN 

CASES NOT INVOLVING ALLEGED 

DISCRIMINATION 

.0101 PURPOSE (REPEALED) 
.0102 DEFINITIONS (REPEALED) 
.0103 POLICY (REPEALED) 

Statutory Authority G.S. MSB- 10; 143B-475. 

SECTION .0200 - INFORMAL PROCEDURE IN 

CASES NOT INVOLVING ALLEGED 

DISCRIMINATION 

.0201 STEP ONE: DISCUSSION WITH 

IMMEDIATE SUPERVISOR (REPEALED) 

.0202 STEP TWO: DISCUSSION WITH 
SUPERVISOR'S SUPERVISOR 
(REPEALED) 



SECTION .0300 - FORMAL PROCEDURE IN 

CASES NOT INVOLVING ALLEGED 

DISCRIMINATION 

.0301 STEP ONE: FILING WRITTEN 

GRIEVANCE WITH SUPERVISORS 

(REPEALED) 
.0302 STEP TWO: APPEAL TO DIVISION 

DIRECTOR (REPEALED) 
.0303 STEP THREE: APPEAL TO 

DEPARTMENT SECRETARY (REPEALED) 
.0304 STEP FOUR: APPEAL TO STATE 

PERSONNEL COMMISSION (REPEALED) 

Statutory Authority G.S. 143B-10; 143B-475. 

SECTION .0400 - GRIEVANCE PROCEDURE 
IN CASES INVOLVING APPLICANT 

.0401 PURPOSE 

The purpose of these Rules is to ¥» provide 
a means of ensuring prompt, orderly, and fair 
response to a legitimate employee grievance 
arising out of a claim of discrimination, an 
applicant for employment. 

Statutory Authority G.S. MSB- 10; M3B-475. 

.0402 GRIEVANCE 

"Grievance" is a problem » a» omployco's 
worlang conditions, circumstances &f relation 
ships with other employees e* supervisors 
which gives rise k» » legitimat e complaint by- 
the employee * . 

(a) Any applicant who believes he was 
wrongly denied employment with the Depart- 
ment of Crime Control and Public Safety shall 
first contact either the director of the division 
in which employment was sought or the Per- 
sonnel Officer for the Department of Crime 
Control and Public Safety at the department 
address. 

(b) If the matter cannot be resolved, then the 
applicant may contact the secretary and seek 
to informally resolve this matter. 

(c) If the applicant is unsatisfied with the 
decision of the secretary, he may contact the 
Office of State Personnel, 1 16 West Jones 
Street, Raleigh, NC 27611. Any appeal to the 
Office of State Personnel must be received by 
State Personnel within 30 days of the alleged 
improper action. 

Statutory Authority G.S. MSB- 10; M3B-475. 

.0403 POLICY (REPEALED) 
.0404 PROCEDURE (REPEALED) 



Statutory} Authority G.S. 143B-/0; M3B-475. 



Statutory Authority G.S. 143B-10; M3B-475. 



NORTH CAROLINA REGISTER 



10 89 



PROPOSED RULES 



CHAPTER 3 - I IKE COMMISSION 

SECTION .0100 - PURPOSE AND 
ORGANIZATION 

.0101 DEFINITIONS (REPEALED) 

.0102 PURPOSE (REPEALED) 

.0103 ORGANIZATION (REPEALED) 

.0104 ADDRESS (REPEALED) 

Statutory Authority G.S. 143B-482: 143B-483. 

SECTION .0200 - GRANT APPLICATION 
SUBMISSION REQUIREMENTS 

.0201 GRANT APPLICATION REQUIREMENTS 

(REPEALED) 
.0202 APPLICATION SUBMISSION 

REQUIREMENTS (REPEALED) 

Statutory Authority G.S. 143B-4S2; 143B-483. 

SECTION .0300 - GENERAL GRANT 
GUIDELINES 

.0301 THE GRANT PERIOD (REPEALED) 
.0302 PROGRESS REPORTS (REPEALED) 
.0303 ALLOWABLE COSTS (REPEALED) 
.0304 COST DETAILS (REPEALED) 
.0305 NONPROFIT ORGANIZATIONS 

(REPEALED) 
.0306 COST ASSUMPTION PLANS 

(REPEALED) 

Statutory Authority G.S. 143B-482; I43B-4S3. 

SECTION .0400 - GRANT APPLICATION 
REVIEW PROCEDURES 

.0401 ACKNOWLEDGEMENT OF RECEIPT OF 

APPLICATION (REPEALED) 
.0402 CONSISTENCY WITH PLANS 

(REPEALED) 
.0403 COMPLETE APPLICATIONS 

(REPEALED) 
.0404 APPLICATION MODIFICATIONS 

(REPEALED) 
.0405 FACTORS IN AWARDING GRANTS 

(REPEALED) 

Statutory Authority G.S. 143B-482; 143B-483. 

SECTION .0500 - GRANT TERMINATION 
AND APPEAL 

.0501 GRANT TERMINATION (REPEALED) 
.0502 APPEAL PROCESS (REPEALED) 

Statutory Authority G.S. 143B-482: I43B-483. 

SECTION .0600 - FIRE INVESTIGATOR 
CERTIFICATION PROGRAM 



.0601 PURPOSE (REPEALED) 

.0602 FIRE INVESTIGATOR CERTIFICATION 

BY REVIEW BOARD (REPEALED) 
.0603 CERTIFICATION AS FIRE 

INVESTIGATOR (REPEALED) 
.0604 MINIMUM STANDARDS FOR 

CERTIFICATION BY EXAMINATION 

(REPEALED) 
.0605 CERTIFICATION BY REVIEW 

(REPEALED) 
.0606 TESTING (REPEALED) 
.0607 APPLICATIONS (REPEALED) 
.0608 CERTIFICATES ISSUED 

(REPEALED) 
.0609 RECERT1FICATION (REPEALED) 
.0610 SUSPENSION: REVOCATION OR 

DENIAL OF CERTIFICATION 

(REPEALED) 
.061 1 APPEAL PROCESS (REPEALED) 



Statutory Authority 
I43B-485. 



G.S. 143B-481 through 



TITLE 15 - DEPARTMENT OF NATURAL 

RESOURCES AND COMMUNITY 

DEVELOPMENT 

1 V otice is hereby given in accordance with G.S. 
150B-12 that the N.C. Department of Natural 
Resources and Community Development intends 
to adopt regulations cited as 15 NCAC II .0001 

- .0003. 

1 he proposed effective date of this action is 
July I, 1988. 

1 he public hearing will be conducted at 10:00 
a.m. on May 4, 1988 at Ground Floor Hearing, 
Archdale Building, 512 N. Salisbury St., Ra- 
leigh, AC. 

(^ omment Procedures: Comments and state- 
ments, both written and oral, may be presented 
at the hearing. Written comments are encour- 
aged and may be submitted to the Department 
of NRCD, Dhision of Marine Fisheries, P.O. 
Box 769. Morehead City, NC 28557. These 
written comments must be received no later than 
May 5, 1988. 

CHAPTER 1 - DEPARTMENTAL RULES 

SUBCHAPTER II - FEDERAL FUNDS: 
TURTLE EXCLUDER DEVICES 

.0001 SCOPE AND PURPOSE 

(a) Effective May 1, 1988. the United States 
Government will require the use of Turtle Ex- 
cluder Devices (hereinafter referred to as 



1090 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



TEDs) by all boats and vessels 25 feet or more 
in length which trawl for shrimp in the Atlantic 
Ocean off North Carolina. Such devices con- 
sist of various combinations of net material, 
steel bars and other items placed in front of the 
tailbag of the trawl for the purpose of releasing 
sea turtles from the trawl net prior to entering 
the tailbag, thus excluding turtles from the ta- 
ilbag. Acceptable designs of such devices are 
certified as acceptable by the United States 
Government. 

(b) The North Carolina Department of Na- 
tural Resources and Community Development 
(hereinafter referred to as the Department) has 
received a grant of seventy-three thousand two 
hundred dollars ($73,200.00) from the U.S. 
Department of Commerce (Contract Number 
86-4631-003) for the purpose of aiding North 
Carolina commercial shrimp fishermen in the 
purchase of certified TEDs in time for use in 
the 1988 brown shrimp season. Funds from 
the grant will be provided during 1988 to 
commercial fishermen who comply with the 
standards set fourth in the Rules of this Sub- 
chapter. 



Statutory Authority G.S. 
143B-277; I50B-13. 



113-181; 113-226; 



.0002 ELIGIBILITY STANDARDS 

(a) Only vessels and boats measuring 25 feet 
or more in overall length are eligible for this 
program. 

(b) Only vessels or boats which hold 1987 
North Carolina resident commercial fishing 
vessel licenses or are eligible to hold 1988 
North Carolina resident commercial fishing 
vessel Licenses are eligible for this program. 

(c) Reimbursement will be made only upon 
presentation of a certification form stating that 
a certified TED (or TEDs) have been pur- 
chased; including the original invoice for such 
purchase. The Department will provide the 
certification form. 



Statutory Authority 
143B-277; I50B-13. 



G.S. 113-1S1; 113-226; 



.0003 REQUIREMENTS TO RECEIVE 
REIMBURSEMENT FOR TED 
PURCHASE 

(a) Funds will be reimbursed by the De- 
partment only in the name of the owner of el- 
igible vessels or boats. 

(b) Funds will be reimbursed by the De- 
partment on a "first-come", "first-served" basis 
beginning no earlier than March 1, 1988. 
Certification forms dated prior to March 1 , 



1988, will be rejected. Invoices submitted with 
certification forms must also be dated March 
1, 1988, or later. 

(c) Funds will be available until the total 
available seventy-three thousand two hundred 
dollars ($73,200.00) is disbursed. No further 
funds will be available. The Department will 
publicly announce when all funds are ex- 
pended. 

(d) The maximum amount which any vessel 
or boat can receive is five hundred dollars 
($500.00). 

(e) All recipients of funds under this program 
must agree to provide data to the Department 
on vessel performance with TEDs, fuel use, 
shrimp catch and other information needed to 
evaluate this program. Such data shall be 
considered confidential as provided in G.S. 
113-163. 



Statutory Authority G.S. 113-163; 
113-226; 143B-277; 1 SOB- 13. 



11 3- IS I; 



****************** 



1 V otice is hereby given in accordance with G.S. 
1 SOB- 12 that the Environmental Management 
Commission intends to adopt regulations cited 
as 15NCAC2H .1101 - .1110. 

1 he proposed effective date of this action is 
October 1, 1988. 

1 he public hearing will be conducted at 1 :30 
p.m. on April 20, 1988 at Ground Floor Hear- 
ing Room, Archdale Building, 512 North Salis- 
bury Street, Raleigh, North Carolina. 



Co 



omment Procedures: All persons interested 
in this matter are invited to attend. Comments, 
statements, data, and other information may be 
submitted in writing prior to, during, or within 
thirty (30) days after the hearing or may be 
presented orally at the hearing. Oral statements 
may be limited at the discretion of the hearing 
officer. Submittal of written copies of oral 
statements is encouraged. 

CHAPTER 2 - ENVIRONMENTAL 
MANAGEMENT 

SUBCHAPTER 2H - PROCEDURES FOR 
PERMITS: APPROVALS 

SECTION .1 100 - BIOLOGICAL 
LABORATORY CERTIFICATION 



NORTH CAROLINA REGISTER 



1091 



PROPOSED RULES 



.1101 IM KI'OSE 

These Rules set forth the requirements for 
certification of commercial, industrial, and 
public laboratories to perform biological tox- 
icity testing of water and wastewater as re- 
quired for National Pollutant Discharge 
Elimination System (NPDES) permits by G.S. 
143-21 5.3(a)( 10) and Environmental Manage- 
ment Commission Rules for Classifications 
and Water Quality Standards Applicable to the 
Surface Waters of North Carolina, found in 
Subchapter 2B of this Chapter, Section .0200, 
and Rules for Surface Water Monitoring, Re- 
porting, found in Subchapter 2B of this 
Chapter, Section .0500. 

Statutory Authority G.S. 143-215.3(a)(l ); 
143-215.3(a)(10); 143-215.66. 

.1102 SCOPE 

These Rules apply to commercial, industrial, 
or public laboratories which perform toxicity 
testing of water or wastewater for persons 
subject to any requirements for monitoring of 
toxicity through direct measurement of the ef- 
fects of a specific water or wastewater or 
aquatic organisms in laboratory tests or 
through field surveys. 

Statutory Authority G.S. 143-21 5.3(a)( I ); 
143-215.3(a)(10); '143-215.66. 

.1103 DEFINITIONS 

The following terms as used in this Section 
shall have the assigned meaning: 

( 1 ) Categories are groups of parameters 
which differ by measured testing end 
points and, in the case of toxicological 
assay, through the presence or absence of 
vertebrae in the species of test organisms 
used or being a member of the plant 
kingdom. All field population survey 
techniques are contained within one cate- 
gory. Categories are denned in the Cer- 
tification Criteria Procedures Document. 

(2) Certification is a declaration by the di- 
vision that personnel, equipment, records, 
quality control procedures, and method- 
ology cited by the applicant are accurate 
and that the applicants' proficiency has 
been considered and found acceptable. 

(3) Commercial Laboratory means any lab- 
orators' which is seeking to analyze, for 
others, wastewater samples for toxicity 
measurements or for their resultant im- 
pacts on the receiving waters. 

(4) Decertification is the loss of certification. 



(5) Director means the Director of the 
North Carolina Division of Environ- 
mental Management, or his successor. 

(6) Division means the North Carolina Di- 
vision of Environmental Management, or 
its successor. 

(7) Evaluation samples are samples submit- 
ted by the State Laboratory to the com- 
mercial, municipal, industrial, or public 
laboratory as an unknown toxicant for 
measurement of toxicity or as an un- 
known set of preserved organisms for 
identification to specified levels of taxo- 
nomic classification. 

(8) Industrial Laboratory means a labora- 
tory operated by an industry to analyze 
samples from its wastewater treatment 
plants for toxicity measurements or re- 
sultant impacts to receiving waters. 

(9) Parameters are specific quantitative or 
qualitative biological effects measured by 
toxicological assay methods or field survey 
techniques. Parameters are unique and 
separate if they are in separate categories 
or are performed using different species of 
test organisms. In the case of biological 
survey, separate parameters are to be 
considered fish, macroinvcrtebrates, algae, 
aquatic macrophytes, and zooplankton. 
Parameters are further defined in the Cer- 
tification Criteria Procedures Document. 

(10) Public Laboratory means a laboratory 
operated by a municipality, county, water 
and sewer authority, sanitary district, me- 
tropolitan sewerage district, or state or 
federal installation or any other govern- 
mental unit to analyze samples from its 
wastewater treatment plant(s) for toxicity 
measurements or resultant impacts to re- 
ceiving waters. 

(11) Recertification is reaffirmation of certif- 
ication. 

(12) Split samples are samples from either a 
surface water effluent discharge, surface 
water, or aquatic biological population 
survey which are segregated at the point 
of sampling and then analyzed separately 
by both the State Laboratory and the 
commercial, public or industrial labora- 
tory'. 

(13) State laboratory means the Biological 
Services Unit of the North Carolina Divi- 
sion of Environmental Management or its 
successor. 

(14) Toxicant - Any specific chemical or 
compound or mixture of chemicals or 
compounds regulated within an NPDES 
permit and or defined as a toxic substance 



1092 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



in Rule .0202(27) of Subchapter 2B of 
these Regulations. 

(15) Unacceptable results on performance 
evaluation samples or split samples are 
those that vary by more than two Stand- 
ard Deviations of the value measured by 
the division. The State Laboratory may 
adopt specific variance or statistical limits 
or performance criteria for a particular 
testing procedure, including control pop- 
ulation effects and taxonomic identifica- 
tions, as published in the Certification 
Criteria/Procedures Document. 

(16) Certification Criteria/Procedures Docu- 
ment - A manual approved by the director 
defining specific performance criteria and 
laboratory capabilities required for certif- 
ication, recertification and decertification. 

Statutory Authority G.S. 143-215.3(a)(l ); 
143-215.3(a)(10); 143-215.66. 

.1 104 FEES ASSOCIATED WITH 

CERTIFICATION PROGRAM 

(a) Certification Fees: 

(1) Certification Fees shall be a minimum 
of five hundred dollars per year 
($500.00). The first category will be 
certified at a cost of five hundred dollars 
($500.00). Additional categories will 
be certified at a cost of four hundred 
dollars ($400.00) per category. The 
addition of parameters not included in 
the original certification will be certified 
at a cost of one hundred dollars 
($100.00) per parameter. 

(2) Certification fees are due upon applica- 
tion and no later than 45 days prior to 
the requested certification date. 

(b) Renewal Fees: 

(1) The certified laboratory will pay the 
state a four hundred dollar ($400.00) 
per year renewal fee for each category 
of certification or the minimum fee five 
hundred dollars ($500.00) if only one 
category is certified. 

(2) Recertification fees shall be four hun- 
dred dollars ($400.00) per category re- 
certified. Out-of-state laboratories shall 
reimburse the state for actual travel and 
subsistence costs incurred in certif- 
ication, recertification and maintenance 
of certification. 

Statutory Authority G.S. 143-21 5.3(a)( I ); 
143-215.3(a)(10); 143-215.66. 

.1105 CERTIFICATION 



Certification is affirmation by the director or 
his delegate that the requirements specified in 
the Certification Criteria Document have been 
met for specific categories and parameters and 
that all fees associated with certification have 
been received. 

Statutory Authority G.S. 143-21 5.3(a) ( 1 ); 
143-215.3(1 )( 10); '143-215.66. 

.1106 DECERTIFICATION 

(a) Laboratory Decertification once certified, 
a laboratory may forfeit its certification for all 
categories by failing to: 

(1) Maintain the facilities, records, person- 
nel, equipment or quality assurance 
program as set forth in the application 
or these Rules; or 

(2) Submit truthful and accurate data re- 
ports; or 

(3) Pay required fees by the date due. 

(b) Categorical Decertification once certified, 
a laboratory may be required to forfeit its cer- 
tification for a category by failing to: 

(1) Obtain acceptable results on two con- 
secutive evaluation sample submittals 
from the division; or 

(2) Obtain acceptable results on two con- 
secutive split samples that have also 
been analyzed by the division; or 

(3) Submit a split sample to the division 
as requested; or 

(4) Use approved testing techniques; or 

(5) Report to the state laboratory equip- 
ment changes that would affect its abil- 
ity to perform a test category within 30 
days of such change; or 

(6) Report to the state laboratory analysis 
of performance evaluation samples 
submitted by the division within re- 
quired time of completion; or 

(7) Maintain records and perform quality 
controls as set forth by these Rules and 
the division for a particular category; 
or 

(8) Maintain equipment required for any 
certified paramenter; or 

(9) Obtain acceptable results on the ac- 
cepted Quality Control Program; or 

(10) Maintain a qualified staff. 

(c) Decertification Requirements: 

(1) A laboratory is not to analyze samples 
for parameters in decertified categories 
for programs described in Rule .1102 
of this Section. 

(2) A decertified commercial laboratory 
must make arrangements to supply 
analysis through a certified laboratory 



NORTH CAROLINA REGISTER 



1093 



PROPOSED RULES 



during any decertification periods or 
notify clients that the analysis can not 
be supplied. The decertified laboratory 
must supply the division with the name 
of the replacement laboratory and the 
client(s) involved. 

Statutory Authority G.S. 143-21 5. 3(a) ( 1 ); 
143-215.3(a)(10); 143-215.66. 

.1107 RECERTIFICATION 

A laboratory decertified for any reason may 
be recertified after 30 days, upon satisfactory 
demonstration to the state laboratory that de- 
ficiencies have been corrected. 

Should decertification occur due to either fai- 
lure of performance samples or split samples, 
a written request must be made to the state 
laboratory requesting evaluations similar to the 
parameters for which the laboratory was de- 
certified. Two consecutive samples must be 
successfully evaluated to achieve recertif- 
ication. The first of these samples for recertif- 
ication will be submitted or arranged by the 
division no later than 30 days after receipt of 
the written request. The second will be sub- 
mitted or arranged no later than 30 days after 
the first. 

Statutory Authority G.S. !43-215.3(a)( 1 ); 
l43-2]5.3(a)(10); '143-215.66. 

.1108 RECIPROCITY 

Laboratories certified by other states or fed- 
eral programs may be given reciprocal certif- 
ication where such programs meet the 
requirements of these Rules. In requesting 
certification through reciprocity, laboratories 
shall include with the application a copy of 
their certification and the rules of the original 
certifying agency. 

Laboratories certified on the basis of program 
equivalency shall pay all fees specified by these 
regulations. 

Statutory Authority G.S. 143-215. 3(a)(1); 
143-2I5.3(a)(10); '143-215.66. 

.1109 ADMINISTRATION 

(a) The Director of the Division of Envi- 
ronmental Management, Department of Na- 
tural Resources and Community- 
Development, or his delegate, is authorized to 
issue certification, to reject applications for 
certification, to renew certification, to issue re- 
certification, to issue decertification, and to is- 
sue reciprocity certification. 

(b) Appeals: 



( 1 ) In any case where the Director of the 
Division of Environmental Manage- 
ment, Department of Natural Re- 
sources and Community Development 
or his delegate denies certification, or 
decertifies a laboratory, the laboratory 
may petition the director or his delegate 
for a hearing. Llpon receipt of such a 
request, the director or his delegate shall 
convene a hearing of the type provided 
in Environmental Management Com- 
mission Regulations for Administrative 
Hearings, found in Subchapter 21 of 
this Chapter, Section .0300. 

(2) Appeal from the decision of a hearing 
officer appointed by the director or his 
delegate shall be governed by the Envi- 
ronmental Management Commission 
Regulation on administrative hearings. 

Statutory Authority G.S. 143-21 ' 5.3(a) ( 1 ); 
143-215.3(a)(10); 143-2/5.66. 

.1110 IMPLEMENTATION 

(a) All laboratories subject to these Rules are 
required to be certified. 

(b) /Ml laboratories subject to these Rules 
must submit an application, including fees, for 
certification within six months of the effective 
date of these Rules. A laboratory which has 
submitted a complete application under Rule 
.1 105(a) of tliis Section will be deemed to be 
in compliance with these Rules pending action 
by the division on the application. 

(c) Laboratories that cannot meet initial 
certification requirements after implementation 
date of these Rules must comply with the de- 
certification and recertification requirements as 
set forth in these Rules. 

(d) After the six month implementation pe- 
riod for these new Rules, all applications and 
fees are due 45 days prior to the requested 
certification date. 

(e) All certifications are designated for the 
period of January 1 to December 31. 

Statutory Authority G.S. 143-21 5. 3(a) ( I '); 
143-21 5. 3(a) ( 10); 143-215.66. 

TITLE 21 - OCCUPATIONAL LICENSING 
BOARDS 



1 V otice is hereby given in accordance with G.S. 
150B-12 that the Board of Medical Examiners 
of the State of North Carolina intends to adopt 
regulations cited as 21 NCAC 32J .0001 - 
.0003; 32K .0/01 - .0104, .0201 - .0208. 



1094 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



1 he proposed effective date of this action is 
July 1, 19S8. 

1 he public hearing will be conducted at 2:00 
p.m. on April 15, 1988 at 1313 Navaho Drive, 
Raleigh, North Carolina. 

i^somment Procedures: Persons interested 
may present written or oral statements relevant 
to the actions proposed at a hearing to be held 
as indicated above. Written statements not 
presented at the hearing should be directed be- 
fore April 1 , 1988, to the following address: 
Administrative Procedures, N.C. Board of 
Medical Examiners, P.O. Box 26808, Raleigh, 
N.C. 27611-6808. 

CHAPTER 32 - BOARD OF MEDICAL 
EXAMINERS 

SUBCHAPTER 32J - REINSTATEMENT OF 
SUSPENDED LICENSE 

.0001 APPLICATION FOR REINSTATEMENT 

An individual whose license issued by the 
board has been suspended pursuant to the 
provisions of N.C. General Statute 
90-14(a)(10) by reason of adjudication of 
mental incompetency may apply to the board 
for reinstatement of such license. Such appli- 
cation for reinstatement of license shall be 
made in writing by letter to the executive sec- 
retary of the board addressing, as the applicant 
deems appropriate, the reasons why the appli- 
cant believes reinstatement of license is then 
warranted and whether the applicant is no 
longer mentally incompetent. Such applica- 
tion may be supported, as the applicant deems 
appropriate, by any other written materials the 
applicant may choose to submit with the ap- 
plication. In all instances of application for 
reinstatement of license, the burden shall be 
upon the applicant to satisfy the board by a 
preponderance of evidence that he is no longer 
mentally incompetent. 

Statutory Authority G.S. 90-14. 

.0002 CONSIDERATION BY BOARD 

(a) Upon receipt by the executive secretary 
of the board of an application for rein- 
statement of license suspended pursuant to 
N.C. General Statute 90-14(a)(10), such appli- 
cation shall be scheduled for consideration by 
the board as soon as reasonably possible at a 
regularly scheduled meeting of the board, tak- 
ing into account other matters also requiring 



the attention of the board. The board, in its 
discretion, may request or permit the applicant 
to appear before the board on an informal ba- 
sis in connection with the board's consider- 
ation of such application. 

(b) Upon consideration of such an applica- 
tion for reinstatement of license, the board, if 
satisfied that the applicant is no longer men- 
tally incompetent, shall reinstate a license 
which has been suspended pursuant to N.C. 
General Statute 90-14(a)(10), unless the board 
finds that cause exists for revocation of such 
license as hereinafter provided. 

(c) If, at the time of consideration of an ap- 
plication for reinstatement hereunder, the 
board or a committee of the board should find 
that probable cause exists for revocation of the 
applicant's license under N.C. General Statute 
90-14, the applicant shall be given notice of the 
same and a hearing pursuant to the provisions 
of N.C. General Statute 90-14.2 and the ap- 
plicable provisions of the Administrative Pro- 
cedures Act, N.C. General Statute 150B-38 et 
seq., which hearing may be consolidated with 
the hearing provided for in Rule .0003 of this 
Subchapter. 

Statutory Authority G.S. 90-14. 

.0003 HEARING UPON DENIAL 

Should the board deny an application for 
reinstatement of a suspended license, the board 
shall notify the applicant of its decision. 
Thereafter, if requested by the applicant, a 
formal hearing shall be held before the board 
pursuant to the provisions of N.C. General 
Statute 90-14.2 and the applicable provisions 
of the Administrative Procedures Act, N.C. 
General Statute 150B-38 et seq., to determine 
whether the applicant is no longer mentally 
incompetent. 

Statutory Authority G.S. 90-14. 

SUBCHAPTER 32K - IMPAIRED PHYSICIAN 
PROGRAMS 

SECTION .0100 - GENERAL INFORMATION 

.0101 AUTHORITY 

N.C. General Statute 90-21.22, entitled "Peer 
Review Agreements," authorizes the Board of 
Medical Examiners of the State of North Ca- 
rolina to adopt regulations allowing it to enter 
into such agreements with the North Carolina 
Medical Society and its local medical society 
components. The board is further required to 
adopt regulations with provisions concerning 
impaired physician programs. The regulations 



NORTH CAROLINA REGISTER 



1095 



PROPOSED RULES 



in this Subchapter arc adopted by the board 
pursuant to this authority. 

Statutory Authority G.S. 90-21.22. 

.0102 DEFINITIONS 

"Board" means the Board of Medical Exam- 
iners of the State of North Carolina. 

"Program" means the North Carolina Physi- 
cians Health and Effectiveness Program estab- 
lished for promoting a coordinated and 
effective peer review process. 

"Committee" means the North Carolina 
Medical Society's Physicians Health and Ef- 
fectiveness Committee established to function 
as a supervisory and advisory body to the 
North Carolina Physicians Health and Effec- 
tiveness Program. 

"Medical director" means the person em- 
ployed by the program to coordinate the ac- 
tivities of the program. 

"Impairment" means mental illness, chemical 
dependency, physical illness, and/or aging 
problems. 

Statutory Authority G.S. 90-21.22. 

.0103 PEER REVIEW AGREEMENTS 

Peer review activities shall include investi- 
gation, review, evaluation of records, reports, 
complaints, litigation and other information 
about the practices and practice patterns of 
physicians licensed by the board, and shall in- 
clude programs for impaired physicians. Peer 
review agreements may cover some or all of 
these activities, as deemed appropriate by the 
board. 

The board may enter into peer review agree- 
ments with the N.C. Medical Society or its lo- 
cal medical society components in 
conformance with these Regulations. 

Statutory Authority G.S. 90-21.22. 

.0104 DUE PROCESS 

Any action taken pursuant to a peer review 
agreement must afford the subject physician 
all due process rights enumerated in N.C. 
General Statutes 90-14.1 and all relevant due 
process rights contained in the Administrative 
Procedures Act, N.C. General Statute 150B. 

Statutory Authority G.S. 90-21.22. 

SECTION .0200 - GUIDELINES FOR 
PROGRAM ELEMENTS 

.0201 RECEIPT AND USE OF INFORMATION 



OF SUSPECTED IMPAIRMENT 

(a) Information concerning suspected im- 
pairments may be received by the program 
through reports by physicians, family members 
and others, and through self-referral. 

(b) The board shall provide information as 
required under N.C. General Statute 90- 14(b). 

(c) Upon receipt of information of a sus- 
pected impairment, the program shall initiate 
an investigation. The medical director of the 
program shall be personally involved in inves- 
tigations whenever possible. 

(d) The program may conduct routine in- 
quiries regarding suspected impairments. 

(e) Physicians suspected of impairment may 
be required to submit to personal interviews 
before the medical director of the program, the 
committee chairperson, a committee member 
or the full committee. 

Statutory Authority G.S. 90-21.22. 

.0202 INTERVENTION AND REFERRAL 

When, following an investigation, impairment 
is confirmed, an intervention is conducted us- 
ing specialized techniques designed to assist the 
physician in acknowledging responsibility for 
dealing with the impairment. The physician 
is referred to an appropriate treatment source. 

( 1 ) Methods and objectives of interventions 
are decided on a case by case basis. 

(2) Interventions are arranged and conducted 
as soon as possible. In cases referred by 
the board, a representative of the board 
may be present. 

(3) Treatment sources are evaluated before 
receiving case referrals from the program. 

(4) Intervention outcomes, including treat- 
ment contracts that are elements of an in- 
tervention, are recorded by the program. 

Statutory Authority G.S. 90-21.22. 

.0203 MONITORING TREATMENT 

A treatment source receiving referrals from 
the Program shall be monitored as to its ability 
to provide: 

(1) adequate medical and non-medical staff- 
ing; 

(2) appropriate treatment; 

(3) affordable treatment; 

(4) adequate facilities; and 

(5) appropriate post-treatment support. 

Statutory Authority G.S. 90-21.22. 

.0204 MONITORING REHABILITATION 
AND PERFORMANCE 



1096 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



(a) Monitoring requirements for each physi- 
cian shall be designated by the program. 
Physicians may be tested regularly or ran- 
domly, on program demand. 

(b) Treatment sources may be required to 
submit reports regarding a physician's rehabil- 
itation and performance to the program. 

(c) Impaired physicians may be required to 
submit to periodic personal interviews before 
the medical director of the program, the com- 
mittee chairperson, a committee member, or 
the full committee. 

(d) Appropriate case records are maintained 
by the program. 

Statutory Authority G.S. 90-21.22. 

.0205 MONITORING POST-TREATMENT 
SUPPORT 

Post-treatment support may include family 
counseling, locum tenens, advocacy and other 
services and programs deemed appropriate to 
improve recoveries. 

(1) Treatment sources' post-treatment sup- 
port shall be monitored by the program 
on an ongoing basis. 

(2) The program's post-treatment support 
will be monitored by the medical director 
of the program and the committee on an 
ongoing basis. 

Statutory Authority G.S. 90-21.22. 

.0206 REPORTS OF INDIVIDUAL CASES 
TO THE BOARD 

(a) Upon investigation and review of a phy- 
sician licensed by the board, the program shall 
report immediately to the board detailed in- 
formation about any physician as required un- 
der N.C. General Statutes 90-21. 22(d). 

(b) The program shall quarterly submit a 
report to the board on the status of all physi- 
cians then involved in the program who have 
been previously reported by the board. The 
program shall monthly submit to the board a 
report on the status of any physician previ- 
ously reported to the board then in active 
treatment until such time as mutually agreed 
to by the board and the program. 

Statutory Authority G.S. 90-21.22. 

.0207 PERIODIC REPORTING OF 

STATISTICAL INFORMATION 

Statistical information concerning suspected 
impairments, impairments, self-referrals, post- 
treatment support and other significant demo- 
graphic and substantive information collected 
through program operations shall be included 



in comprehensive statistical reports compiled 
and annually reported to the board by the 
program. 

Statutory Authority G.S. 90-21.22. 

.0208 CONFIDENTIALITY 

Any nonpublic information acquired, created, 
or used in good faith by the program shall be 
treated according to N.C. General Statute 90- 
21.22. 

Statutory Authority G.S. 90-21.22. 

****************** 



iV otice is hereby given in accordance with G.S. 
1 SOB- 12 that the North Carolina Real Estate 
Commission intends to adopt and amend regu- 
lations cited as 21 NCAC 58 A .0107, .0111 - 
.0112, .0301, .0506, .0611; 58B .0501. 

1 he proposed effective date of this action is 
July 1, 1988. 



Th 



he public hearing will be conducted at 9:00 
a.m. on April 14. 1988 at The North Raleigh 
Hilton, 3415 Wake Forest Road, Raleigh, 
North Carolina 27609. 

C omment Procedures: Comments not pre- 
sented at the hearing should be delivered by the 
hearing dale to the Real Estate Commission 
office, 1313 Navaho Drive, P.O. Box 17 100, 
Raleigh, North Carolina 27619. 

CHAPTER 58 - REAL ESTATE 

SUBCHAPTER 58A - REAL ESTATE 
BROKERS AND SALESMEN 

SECTION .0100 - GENERAL BROKERAGE 

.0107 HANDLING AND ACCOUNTING OF 
FUNDS 

(e) Real estate brokers shall maintain records 
sufficient to v e rify Ae maintenanc e a«4 proper 
h«# ef aU funds which the broker may hold fef 
another ef others. A Feal estate brok e r shall 
retain bank statements, cancelled checks. 4e- 
posit tickets, copies ©f contracts, closing stat e 
m e nts a«4 emy- other documents necessary a&4 
sufficient te- verify a»4 explain record entries. 
and retain for a period of three years records 
sufficient to verify the adequacy and proper use 
of their trust accounts, including, but not lim- 
ited to: 



NORTH CAROLINA REGISTER 



1097 



PROPOSED RULES 



(1 I * fa I ' aula t O ■ 1 nrnl.'.n 1 «->.--■ ■' ' ■ - 1 1 i~i i ■ t t t-i <-v«-t i ■-» i~ - 
1 ) II H. UUIV 1 1 IT. l'Ilfl\l_l rTTTTTCTI 11 CXXTE 1111.'1I1L.I, 

a«4 bank statements; 
(2) l4*» amount, nature t»4 purpos e ef- de- 
posits et«4 from whom Feeeivedj af*4 

cancelled checks which shall be refer- 
enced to the corresponding transaction 
or owner ledger sheet; 



( 3 ) &e date truct monies aw 

trust ef escrow account; »ft4 deposit 
tickets and, if necessary, a supplemental 
worksheet for each deposit ticket iden- 
tifying the property and the parties to 
each transaction for which funds are 
deposited; 

(4) t+H» amount, date a«4 purpose ef- with 

drawals a«4 te whom paid; ttft4 a sepa- 
rate ledger sheet for each safe: 
transaction and lor each owner of pro- 
pert\ managed bv the broker identifying 
the property and the parties to the 
transaction, the amount, date, running 
balance and purpose of deposits and 
from whom received, and the amount. 



Statutory Authority G.S. 93 A -3 



(c). 



date, balance, check number and 



pur- 



pose of disbursements and to whom 
paid: 

( 5) a current running balance ef- trust monies 

ht44 l*y t4+e broker, a journal or check 
stubs identifying each transaction and 
showing a running balance for all funds 
in the account: 

(6) copies of contracts, leases and manage- 
ment agreements; 



closing statements and property man- 
aeement statements: and 



Q 

(S) any other documents necessary and 
sufficient to verify and explain record 
entries. 
All receipts and disbursements of trust monies 
by a real estate broker shall be reported in such 
a manner as to create a clear audit trail from 
deposit tickets, cancelled checks, check stubs, 
lournals and transactions or owner ledgers to 
bank statements which shall be reconciled to 
such records on a monthly basis. 

Statutory Authority G.S. 93A-3(c). 

.0111 DRAFTING LEGAL INSTRUMENTS 

A real estate broker or salesman acting as an 
agent in a real estate transaction shall not draft 
offers, sales contracts, options, leases, promis- 
sory notes, deeds, deeds of trust or other legal 
instruments for others; however, a broker or 
salesman may complete preprinted offer, sales 
contract and lease forms in real estate trans- 
actions when authorized or directed to do so 
by the parties. 



.0112 OFFERS AND SALES CONTRACTS 

(a) A broker or salesman acting as an agent 
in a real estate transaction shall not use a pre- 
printed offer or sales contract form unless the 
form adequately describes or specifically re- 
quires the entry of the following information: 

(1) the names of the buyer and seller; 

(2) a legal description of the real property- 
sufficient to identify and distinguish it 
from all other property; 

(3) an itemization of any personal property 
to be included in the transaction; 

(4) the purchase price and manner of pay- 
ment; 

(5) any portion of the purchase price that 
is to be paid by a promissory note, in- 
cluding the amount, interest rate, pay- 
ment terms, whether or not the note is 
to be secured, and other material terms; 

(6) any portion of the purchase price that 
is to be paid by the assumption of an 
existing loan, including the amount of 
such loan, costs to be paid by buyer or 
seller, the interest rate and number of 
discount points and a condition that the 
buyer must be able to qualify for the 
assumption of the loan and must make 
every reasonable effort to qualify for the 
assumption of the loan; 

(7) the amount of earnest money, if any, 
method of payment, the name of the 
broker or firm that will serve as escrow- 
agent, an acknowledgment of earnest 
money receipt by the escrow agency, 
and the criteria for determining disposi- 
tion of earnest money, including dis- 
puted earnest money, consistent yvith 
commission Rule 58A .0107; 

(8) any loan that must be obtained by the 
buyer as a condition of the contract, 
including the amount and type of loan, 
interest rate and number of discount 
points, loan term, loan commitment 
date, and who shall pay loan closing 
costs; and a condition that the buyer 
shall make every reasonable effort to 
obtain the loan; 

(9) the buyer's intended use of the property 
and a condition that such ase must be 
legally permissible; 

(10) the amount and purpose of any special 
assessment to which the property is 
subject and the responsibility of the 
parties for any unpaid charges; 



109S 



NORTH CAROLINA REGISTER 



PROPOSED RULES 



(11) the date(s) for closing and transfer of 
possession; 

(12) the signatures of the buyer and seller; 

(13) the date(s) of offer and acceptance; 

(14) a provision that title to the property 
must be delivered at closing by general 
warranty deed and must be fee simple 
marketable title, free of all encum- 
brances except ad valorem taxes for the 
current year, utility easements, and any 
other encumbrances specifically ap- 
proved by the buyer, or a provision 
otherwise describing the estate to be 
conveyed, and encumbrances, and the 
form of conveyance; 

(15) the items to be prorated or adjusted at 
closing; 

(16) who shall pay closing expenses; 

(17) the buyer's right to inspect the prop- 
erty prior to closing and who shall pay 
for repairs and or improvements, if any; 
and 

(18) a provision that the property shall at 
closing be in substantially the same 
condition as on the date of the offer 
(reasonable wear and tear excepted), or 
a description of the required property 
condition at closing. 

(b) A broker or salesman acting as an agent 
in a real estate transaction shall not use a pre- 
printed offer or sales contract form containing 
the provisions or terms listed below, and shall 
not insert or cause such provisions or terms to 
be inserted into any such preprinted form at 
the time of completion: 

(1) any provision concerning the payment 
of a commission or compensation, in- 
cluding the forfeiture of earnest money, 
to any broker, salesman or firm; or 

(2) aay provision that attempts to disclaim 
the liability of a broker or salesman for 
their representations in connection with 
the transaction. 

Statutory Authority G.S. 93A-3(c). 

SECTION .0300 - APPLICATION FOR 
LICENSE 

.0301 FORM 

Any person desiring to obtain a license as real 
estate broker or salesman shall make written 
application to the commission upon a pre- 
scribed form. Such forms are available upon 
request to the commission. In general, the 
form calls for information such as the appli- 
cant's name and address, a recent passport size 
photograph of the applicant, past and present 



places of residence and employment, educa- 
tion, prior real estate licenses, prior arrests and 
convictions, unpaid judgements, bankruptcies, 
endorsements of good character, a«4 informa- 
tion concerning the applicant's experience ef 
and education in real estate, and such other 
information necessary to identify the applicant 
and determine his qualifications and fitness for 
licensure. 

Statutory Authority G.S. 93A-3(c); 93A-4(a), 
(d); I50B-II. 

SECTION .0500 - LICENSING 

.0506 SALESMAN TO BE SUPERVISED BY 
BROKER 

(a) A salesman's license is valid only while 
he is supervised by the broker-in-charge of the 
office where the salesman is engaged in the 
business of a real estate salesman. A salesman 
shall not act as or hold himself out to be a real 
estate broker, nor shall he act as a real estate 
salesman outside the supervision of the brok- 
er-in-charge of the firm or office where the sa- 
lesman is employed. 

Statutory Authority G.S. 93A-2 (b); 93A-3 
(c); 150B-11. 

SECTION .0600 - ADMINISTRATIVE 
HEARINGS 

.0611 ANSWERS AND OTHER PLEADINGS 

(a) A party who has been served with a no- 
tice of hearing may file a written answer with 
the commission at any time prior to the hear- 
ing. 

(b) To be considered by the commission, 
every answer, motion, request or other plead- 
ing must be submitted to the commission in 
writing or made during the course of the hear- 
ing as a matter of record. 

Statutory Authority G.S. 93A-3(c). 

SUBCHAPTER 58B - TIME SHARES 

SECTION .0500 - HANDLING AND 
ACCOUNTING OF FUNDS 

.0501 TIME SHARE TRUST FUNDS 

(c) A developer shall refund to a time share 
purchaser all monies paid by the purchaser in 
connection with a time share purchase no later 
than thirty days following the date of execution 
of the contract, provided that the purchaser 
has properly and timely cancelled his purchase. 
Where the time share purchaser has paid with 



NORTH CAROLINA REGISTER 



1099 



PROPOSED RULES 



a bank card or credit card, the developer shall 
refund those payments by issuing a credit 
voucher to the purchaser within thirty days 
following the date of sale, provided that the 
purchaser has property properly and timely 
cancelled his purchase. 

(d) Every project broker shall obtain and 
keep a written representation from the devel- 
oper as to whether or not lien-free or hen-su- 
bordinated time share instruments can be 
recorded within 45 days of the buyer's exe- 
cution of the time share purchase agreement. 
When a lien-free or lien-subordinated instru- 
ment cannot be recorded within said time pe- 
riod, on the business day following the 
expiration of the ten day time share payment 
escrow period, a project broker holding pur 
chase deposit money fund ' j f - holl transfer to tfee 
developer, marked fef transfer to tbe indo 
pendent esefew agaafc; all tuna sbafe purchas e 
deposit monies h* other payments received 
from a buyer who ha* se+ cancelled hi* tim e 
share purchase agreement, shall transfer trom 
his trust account all purchase deposit funds or 
other payments received from a buver who has 
not cancel his purchase agreement, to the 
independent escrow agent in a check made 
pa\ able to the independent escrow agent. Al- 
ternative] . . the check mav be made pavable to 
the developer w ith a restnetn :■ endorsement 
placed on the back of the check providing "For 
deposit to the account of the independent es- 
crow agent for the ( name of time share project ) 
only. 

Statutory Authority G.S. 93A-42 (c); 93A-5I. 

TITLE 25 - OFFICE OF STATE 
PERSONNEL 



No 



otice is hereby gh-en in accordance with G.S. 
1 SOD- 1 2 that the Office of State 
Personnel State Personnel Commission intends 
to amend regulations cited as 25 NCAC ID 
.0201. .0511; 11 .0603, .0606. 

1 he proposed effective date of this action is 
July 1. 19SS. 



Th 



he public hearing will be conducted at 9:00 
a.m. on April 26. 1988 at 101 West Peace 
Street. Raleigh. Sorlh Carolina. 

K^omment Procedures: Interested persons 
may present statements orally or in writing at 
the hearing or in writing prior to the hearing by 



mail addressed to: Drake Maynard, Office of 
Stale Personnel, 1 16 West Jones Street, Ra- 
leigh, Sorlh Carolina 2761 1 . 

CHAPTER 1 - OFFICE OF STATE 
PERSONNEL 

SUBCHAPTER ID - COMPENSATION 

SECTION .0200 - NEW APPOINTMENTS 

.0201 DEFINED 

(d) The conditions of the probationary and 
trainee appointments shall be clearly conveyed 
to the applicant prior to appointment. During 
the probationary or trainee period, the super- 
visor has a responsibility to work closely with 
the employee in counseling and assisting the 
employee to achieve a satisfactory performance 
level; progress of the employee should be re- 
viewed during discussions between the em- 
ployee and the supervisor. Following the 
probationary period when the supervisor, in 
consultation with other appropriate adminis- 
trators, determines that the employee's per- 
formance indicates capability to become a 
satisfactory performer and merits retention in 
the position, the employee shall be given a 
permanent appointment to the class. If in- 
stead, the determination is that the employee's 
performance indicates that the employee is not 
suited for the position and cannot be expected 
to meet acceptable standards, or for other 
causes related to performance of duties or per- 
sonal conduct detrimental to the agency, it is 
expected that the employee would be separated 
from that position. Except in cases of dis- 
crimination, a dismissal from a probationary 
appointment under these conditions is not 
subject to the right of appeal to the State Per- 
sonnel Commission. However, dismissal from 
a trainee appointment is subject to the right 
of appeal to the State Personnel Commission 
in cases of allegations of discrimination or if 
the trainee meets the following requirements 
tor permanent status- 

( 1 ) has a trainee appointment to a pavgrade 
60 or lower position and has at least 12 
months of continuous state service: 



(2) 



(31 



has a trainee appointment to a position 
at pavgrades 61 through 65 and has at 
least 36 months of continuous state 



service; 



has a trainee appointment to a position 
at pavgrades 66 through 70 and has at 
least 48 months of continuous state 



service: 



(4) has a trainee appointment to a position 
at pavgrade 1 or above and has at 



1 1 00 



\ORTH CAROLEXA REGISTER 



PROPOSED RULES 



least 60 months of continuous state 
service. 

Statutory Authority G.S. 126-4; 126-5. 

SECTION .0500 - SEPARATION 

.0511 REDUCTION IN FORCE PRIORITY 
CONSIDERATION 

( 14) Priority reemployment consideration for 
employees separated through reduction-in- 
force does not include priority to any policy- 
making confidential exempt position. 

Statutory Authority G.S. 126-5. 

SUBCHAPTER II - SERVICE TO LOCAL 
GOVERNMENT 

SECTION .0600 - RECRUITMENT AND 
SELECTION 

.0603 APPLICANT INFORMATION AND 
APPLICATION 

(d) /An applicant may be disqualified if 
he, she: 

(3) has mad i * a feke statem e nt (4 mate - rial 
feet- i» tht* application pro process; 
knowingly and willfully discloses false 
or misleading information or conceals 



dishonorable military service; or con- 



ceals prior employment history or other 
requested information, either of which 
are significantly related to job responsi- 
bilities on an application for employ- 
ment. If employed before fraudulent 



information is discovered, the employee 
may be subject to disciplinary action 
up to and including immediate dis- 
missal from employment. Disquali- 
fication shall be mandatory where the 
applicant discloses false or misleading 
information in order to meet position 
qualifications. 

Statutory Authority G.S. 126-4; 126.30. 

.0606 SELECTION 

(a) Selection of Applicants 
(2) Selection procedures and methods will 
be validly related to the duties and re- 
sponsibilities of the vacancy to be filled. 
In any vacancy instance, the same se- 
lection process will be used consistently 
with all applicants. Equal employment 
consideration will be afforded. Refer 
enee checking a«4 other means ef veri 
fying applicant qualifications may be 
employed a* necessary. The employing 
authority shall verify the status of cre- 
dentials and the accuracy of statements 
contained iri the application of each 
new employee within % days from the 
date of the employee's employment. It 
should be recognized and explained to 
persons selected that the probationary 
period is a required extension of the se- 
lection process. 

Statutory Authority G.S. 126-4; 126-30. 



NORTH CAROLINA REGISTER 



1101 



LIST OF RULES AFFECTED 



NOR III CAROLINA ADMINISTRATIVE CODE 
EFFECTIVE: March 1, 1988 



AGENCY 

DEPARTMENT OF ADMINISTRATION 

1 NCAC IB .0404 
DEPARTMENT OF AGRICULTURE 

2 NCAC 9L .1111 
DEPARTMENT OF COMMERCE 

4 NCAC 5A .0106 

.0107 
17 .0101 - .0102 
.0203 

DEPARTMENT OF CORRECTION 

5 NCAC 2D .0304 
GOVERNOR'S OFFICE 



NCAC 2 Executive Order Number 67 
Eft 02-18-88 



DEPARTMENT OF HUMAN RESOURCES 



10 


NCAC 7A 


.0101 - 


.0105 






.0106- 


.0109 






.0201 - 


.0206 






.0209 - 


.0212 






.0208 








.0401 








.0405 - 


.0406 






.0502 








.0503 






7D 


.0206 






7E 


.0401 - 


.0403 




9D 


.0104 








.0302 - 


.0303 






.0328 






10A 


.0201 
.0302 








.0443 - 


.0444 






.0446 








.0448 








.0502 








.1004 








.1301 








.2202 






10G 


.0201 
.0504 





ACTION TAKEN 

Repealed 
Adopted 



Amended 
Adopted 
Adopted 
Adopted 



Amended 



Repealed 

Adopted 

Repealed 

Adopted 

Repealed 

Amended 

Amended 

Repealed 

Amended 

Amended 

Amended 

Adopted 

Temp. Amended 

Expires 07-20-88 

Temp. Amended 

Expires 07-20-88 

Amended 

Amended 

Amended 

Amended 

Amended 

Amended 

Amended 

Amended 

Amended 

Amended 

Amended 



1 102 



NORTH CAROLINA REGISTER 



LIST OF RULES AFFECTED 



12 .0239 
14C .1117 
181 .0120 
26G .0402 
26H .0106 

.0204 

.0303 - .0304 
45H .0202 



DEPARTMENT OF INSURANCE 



11 



NCAC 8 



.0903 - .0904 
.0906 - .0907 



Amended 
Amended 
Amended 
Amended 
Amended 
Amended 
Amended 
Amended 



Amended 
Amended 



DEPARTMENT OK LABOR 



13 NCAC 7C .0101 - .0102 Amended 

DEPARTMENT OF NATURAL RESOl RCES AND COMMUNITY DEVELOPMENT 



Temp. Adopted 

Expires 08-14-88 

Amended 

Amended 

Amended 

Adopted 

Amended 

Repealed 

Amended 

Amended 

Amended 

Amended 

Amended 

Amended 

Amended 

Adopted 

Amended 

Adopted 

Adopted 

Adopted 

Adopted 

Adopted 

Adopted 

Adopted 



1 5 NCAC 1 1 


.0001 - 


.0003 


2B 


.0311 




2D 


.0501 






.0524 - 


.0525 


2G 


.0501 - 


.0507 


211 


.0105 




21 


.0202 




7B 


.0203 




711 


.0209 
.0306 
.0308 
.0310 
.0507 




7J 


.0701 - 


.0702 


7K 


.0211 




7M 


.0301 - 


.0304 


130 


.0101 - 


.0104 




.0201 - 


.0202 




.0301 - 


.0304 




.0401 - 


.0403 




.0501 - 


.0503 




.0601 - 


.0605 




.0701 - 


.0704 


SECRETARY OF STATE 







18 NCAC 6 .1601 - .1605 

DEPARTMENT OF STATE TREASURER 



20 



NCAC 9 



.0101 .0102 
.0201 - .0202 
.0301 

.0401 - .0403 
.0501 - .0502 
.0601 - .0602 



Adopted 



Adopted 
Adopted 
Adopted 
Adopted 
Adopted 
Adopted 



BOARD OF DENTAL EXAMINERS 



NORTH CAROLINA REGISTER 



1103 



LIST OF RULES AFFECTED 



NCAC !6B .0303 

.0305 
16C .0303 

.0305 
I6M .0001 - .0002 
16N .0304 

.0505 

.0603 

.0605 



Amended 
Amended 
Amended 
Amended 
Amended 
Amended 
Amended 
Amended 
Amended 



HOARD FOR GEOLOGISTS 



NCAC 21 .0106- .0107 
.0301 - .0302 



Amended 
Amended 



BOARD OF MEDICAL EXAMINERS 

21 NCAC 32B .0109 

.0607 

OFFICE OF STATE PERSONNEL 



.Amended 
Adopted 



NCAC 1C .0404 
ID .0110 
IE .0701 - .0703 
1H .0604 

.0609 

.0620 - .0624 

.0626 

.0628 



.Amended 

Repealed 

Repealed 

.Amended 

.Amended 

Adopted 

Adopted 

Adopted 



1104 



NORTH CAROLINA REGISTER 



NC AC INDEX 



TITLE/MAJOR DIVISIONS OE THE NORTH CAROLINA ADMINISTRATIVE CODE 
TITLE DEPARTMENT 

1 Administration, Department of 

2 Agriculture, Department of 

3 Auditor, Department oi State 

4 Commerce, Department of 

5 Corrections, Department of 

6 Council of State 

7 Cultural Resources, Department of 

8 Elections, State Board of 

9 Governor, Office of the 

10 Human Resources, Department of 

1 1 Insurance, Department of 

12 Justice, Department of 

13 I^ibor, Department of 

14A Crime Control and PuhLic Safety, Department of 

15 Natural Resources and Community Development, Department of 

16 Education, Department of 

17 Revenue, Department of 

18 Secretary of State, Department of 
19A Transportation, Department of 
20 Treasurer, Department of State 

*21 Occupational Licensing Boards 

22 Administrative Procedures 

23 Community Colleges, Department of 

24 Housing Finance Agency 

25 State Personnel, Office of 

26 Administrative Hearings, Office of 

NOTE: Title 21 contains the chapters of the various occupational licensing boards. 
CHAPTER LICENSING BOARDS 

2 Architecture, Board of 

4 Auctioneers, Commission for 

6 Barber Examiners, Board of 

8 Certified Public Accountant Examiners, Board of 

10 Chiropractic Examiners, Board of 

12 Contractors, Licensing Board for 

14 Cosmetic Art Examiners, Board of 

16 Dental Examiners, Board of 

18 Electrical Contractors, Board of Examiners of 

20 Foresters, Board of Registration for 

21 Geologists, Board of 

22 Hearing Aid Dealers and Fitters Board 
26 Landscape Architects, Licensing Board of 

28 Landscape Contractors, Registration Board of 

31 Martial & Family Therapy Certification Board 

32 Medical Examiners, Board of 

33 Midwifery Joint Committee 

34 Mortuary Science, Board of 

36 Nursing. Board of 

37 Nursing Home Administrators, Board of 

38 Occupational Therapists, Board of 
40 Opticians, Board of 

42 Optometry, Board of Examiners in 



NOR TH CAROLINA REGIS TER 1 105 



NC AC INDEX 



44 Osteopathic Examination and Registration, Board of 

46 Pharmacy, Board of 

48 Physical Therapy. Examining Committee of 

50 Plumbing and Heating Contractors, Board of 

52 Podiatry Examiners, Board of 

53 Practicing Counselors, Board of 

54 Practicing Psychologists, Board of 

56 Professional Engineers and Land Surveyors, Board of 

55 Real Estate Commission 

60 Refrigeration Examiners, Board of 

62 Sanitarian Examiners, Board of 

63 Social Work, Certification Board for 

64 Speech and Language Pathologists and 

Audiologists, Board of Examiners of 

66 Veterinarv Medical Board 



i 



1106 NOR TH CAROLINA REGIS TER 



CUMULA TIVE INDEX 



CUMULA TIVE INDEX 

(April 1987 - March 1988) 



1987- 1988 



Pages 

1 - 

138 - 
170 - 
199 - 
286 - 
365 - 
418 - 
488 - 
545 - 
644 - 
819 - 
951 - 



Issue 



137 1 

169 2 

198 3 

285 4 

364 5 

417 6 

487 7 

544 8 

643 9 

818 10 

950 11 

1111 12 



April 

May 

June 

July 

August 

September 

October 

November 

December 

January 

February 

March 



AO - Administrative Order 

AG - Attorney General's Opinions 

C - Correction 

E - Errata 

EO - Executive Order 

IDE - Final Decision Fetters 

FR - Final Rule 

GS - General Statute 

JO - Judicial Orders or Decision 

LRA - List of Rules Affected 

M - Miscellaneous 

NP - Notice of Petitions 

PR - Proposed Rule 

SO - Statements of Organization 

1 R - Temporary' Rule 

ADMINISTRATION 

Auxiliary Services, 203 PR 

Departmental Rules, 429 PR 

N.C. Low-lxvel Radioactive Waste Management Authority, 825 PR 

Property and Construction, 388 PR 

Purchase and Contract, 651 PR 

State Construction, 388 PR 

State Employees Combined Campaign, 13 PR, 334 PR 

ADMINISTRATIVE HEARINGS 

Hearings Division, 408 PR 

ACxRICl LTIRE 

Food and Drug Protection Division, 204 PR, 429 PR, 652 PR 
Markets, 206 PR, 658 PR 
N. C. State Fair, 205 PR 



NORTH CAROLINA REGISTER 



1107 



CUMULA THE INDEX 



Pesticide Board, 13 PR, 662 PR 

Plant Industry, 658 PR J 

Standards Division, 206 PR, 657 PR \ 

Structural Pest Control, 205 PR, 393 PR, 492 PR, 954 PR 

Veterinary, 209 PR, 660 PR 

COMMERCE 

ABC Commission, 663 PR 
Cemetery Commission, 429 PR, 664 PR 
Credit Union Division, 334 PR 
Departmental Rules, 14 PR, 143 PR, 551 PR 
Savings and Loan Division, 147 PR 
Seafood Industrial Park Authority, 430 PR 

COMMUNITY COLLEGES 

Community Colleges, 270 PR, 911 PR 

CORRECTION 

Division of Prisons, 105 PR, 190 PR, 275 FR, 924 PR 
Parole Commission, 106 PR 

CRIME CONTROL AND PUBLIC SAFETY 

Alcohol Law Enforcement, 745 PR 
Departmental Rules, 1086 PR 
Fire Commission, 1090 PR 
Governor's Crime Commission, 565 PR 
State Highway Patrol. 159 PR, 745 PR 
Victim and Justice Services, 342 PR, 570 PR 

EXECUTIVE ORDERS i 

Executive Orders 34 - 42, 1 EO \ 

43 - 46, 138 EO 

47 - 49, 171 EO 

50, 199 EO 

51 - 53,288 EO 

54, 384 EO 

55 -56,418 EO 

57, 545 EO 

58 - 62,644 EO 

63 - 66,819 EO 

67,951 EO 

FINAL DECISION LETTERS 

Voting Riehts Act, 10 FDL, 141 FDL, 200 FDL, 291 FDL, 385 FDL, 489 FDL, 547 FDL, 
647 FDL, 822 FDL, 952 FDL 

GENERAL STATUTES 

Chapter 7A, 382 GS 
Chapter 143B, 286 GS 
Chapter 150B, 366 GS 

GOVERNOR 

State Budget and Management, 828 PR 

HUMAN RESOURCES 

AFDC, 156 PR, 691 PR 

Children's Services, 689 PR , 

Commission of Anatomy, 44 1 PR I 

Departmental Rules, 492 PR " 



/ 108 NOR TH CAROLINA REGIS TER 



CUMULA TIVE INDEX 



Drug Commission, 530 FR, 924 FR 

Facility Services, 174 PR, 211 PR, 393 PR, 665 PR, 841 PR, 965 PR 
Family Services, 152 PR 
Health: Epidemiology, 694 PR 

Health Services, 237 PR, 432 PR, 494 PR, 696 PR, 967 PR 
Individual and Family Support, 153 PR 

Medical Assistance, 149 PR, 174 PR, 248 PR, 339 PR, 396 PR, 443 PR, 506 PR 
Medical Services, 711 PR, 876 PR 
Mental Health: General, 973 PR 
Mental Health, Mental Retardation 

and Substance Abuse, 15 PR, 247 PR, 337 PR, 442 PR, 557 PR, 874 PR 
Mental Health: Other Programs, 1042 PR 
N.C. Drug Commission, 1070 PR 
Notice, 170 C, 488 C 

Social Services Commission, 397 PR, 686 PR 
State County Special Assistance, 690 PR 
Vocational Rehabilitation Services, 559 PR 
Youth Services, 712 PR 

INDEPENDENT AGENCIES 

Housing Finance, 355 PR 

INSURANCE 

Departmental Rules, 1070 PR 

Life Accident and Health Division, 17 PR 

Special Services Division, 564 PR 

JUDICIAL ORDERS 

Martin v. Melott, 420 JO 

JUSTICE 

Education and Training Standards, 19 PR 

N.C. Alarm Systems, 341 PR, 1075 PR 

Private Protective Services, 249 PR, 712 PR 

Sheriffs' Education and Training Standards Commission, 714 PR 

LABOR 

Apprenticeship and Training Division, 1086 PR 

Boiler and Pressure Vessel, 1085 PR 

Conciliation and Arbitration Division, 1079 PR 

Departmental Rules, 1077 PR 

Mine and Quarrv, 1079 PR 

Office of Occupational Safety and Health, 1079 PR 

Wage and Hour, 1084 PR 

LICENSING BOARDS 

CPA, 269 PR, 351 PR, 516 PR, 766 PR 

Chiropractic Examiners, 178 PR 

Cosmetic Art Examiners, 593 PR 

Dental Examiners, 461 PR 

Electrical Contractors, 612 PR 

General Contractors, 906 PR 

Geologists, 524 PR 

Hearing Aid Dealers and Fitters, 769 PR 

Medical Examiners, 95 PR, 403 PR, 613 PR, 1094 PR 

Mortuary Science, 404 PR, 910 PR 

Nursing, Board of, 627 PR 

Nursing Home Administrators, 1S2 PR 

Opticians, 404 PR 



NOR TH CAROLINA REGIS TER 1109 



CUMULATIVE INDEX 



Pharmacy. 7S6 I'R 

Physical Therapy Examiners, 792 PR 1 

Practicing Psychologists, 795 PR " 

Real Estate, 352 PR, 1097 PR 

Refrigeration Examiners, 526 PR 

LIST OF RULES AFFECTED 

Volume 12, No. 1 
(April 1, 1987), 131 ERA 
Volume 12, No. 2 
(May 1. 1987), 163 ERA 
Volume 12. No. 3 
(June 1, 1987). 193 ERA 
Volume 12, No. 4 
(July 1, 1987), 277 ERA 
Volume 12, No. 5 
(August 1, 1987), 358 LRA 
Volume 12. No. 6 
(September 1, 1987), 411 LRA 
October 1, 1987, 479 LRA 
November 1, 1987, 537 ERA 
December 1, 1987, 634 LRA 
January 1. 1988, 939 LRA 
February 1, 198S, 942 ERA 
March 1, 1988, 1102 ERA 

NATURAL RESOURCES AND COMMUNITY DEVELOPMENT 

Coastal Management, 94 PR, 160 PR, 259 PR, 347 PR, 365 C, 401 PR, 445 PR, 510 PR, 573 PR 

Community Assistance, 511 PR, 758 PR 

Departmental Rules, 1090 PR i 

Economic Opportunity, 161 PR. 765 PR " 

Environmental Management, 29 PR, 249 PR, 346 PR, 506 PR, 572 PR, 746 PR, 876 PR, 1091 PR 

Marine Fishenes, 84 PR, 255 PR 

Wildlife Resources and Water Safety, 175 PR, 268 PR, 446 PR, 575 PR 

PUBLIC EDUCATION 

Elementary and Secondary, 348 PR 

REVENUE 

Corporate Income Franchise Tax, 470 FR, 632 FR 
Departmental Rules, 806 FR 
Individual Income Tax, 107 FR. 806 FR 
Intangible Tax, 930 FR 
Motor Fuels Tax, 108 FR 
Sales and Use Tax, 924 FR 

SECRETARY OF SLATE 

Securities Division, 931 FR 

STATE PERSONNEL 

Employee Benefits, 183 PR, 408 PR 

Office of State Personnel, 96 PR, 465 PR, 801 PR. 1100 PR 

STATE TREASl RER 

Departmental Rules, 161 PR 

Educational Facilities Finance Agency, 349 PR, 475 FR 

Investment Program, 177 PR < 

STATEMENTS OF ORGANIZATION 



1110 NOR TH CAROLINA REGIS TER 



CUMULA TIVE INDEX 



Statements of Organization, 295 SO 

TRANSPORTATION 

Division of Highways, 410 FR, 471 FR, 936 FR 
Motor Vehicles, 109 FR, 632 FR, 937 FR 



NOR TH CAROLINA REGIS TER 1111 



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lease make checks payable to Office of Administrative Hearings 

AME ADDRESS 

ITY STATE ZIP 

HONE 



Return to Office of Administrative Hearings - fold at line, staple at bottom and affix postage.) 



CHANGE OF ADDRESS: 



I . Present Address 



NAME 



ADDRESS 



CITY 



STATE 



ZIP 



2. New Address 



NAME 



ADDRESS 



CITY 



STATE 



ZIP 



Office of Administrative Hearings 

P. O. Drawer 1 1666 
Raleigh, North Carolina 27604 



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UNIU. OF NORTH Cftd 
LfiU -IBf 

: _ ETTACH 

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